;
UNIVERSITY OF MASSACHUSETTS
COMMITTEE/BOARD MEETINGS
1994 MINUTES
J
•COMMITTEE ON ACADEMIC AND STUDENT AFFAIRS
1. January 19, 1994
2. March 29, 1994
3. May 25, 1994
4. July 27, 1994
5. September 13, 1994
6. November 30, 1994
COMMITTEE ON ADMINISTRATION AND FINANCE
1. January 18, 1994
2. March 15, 1994
3. May 20, 1994
4. June 7, 1994
5. September 29, 1994
6. November 29, 1994
•ATHLETIC COMMITTEE
1. January 24, 1994
2. March 8, 1994
3. September 20, 1994
4. November 21, 1994
•AUDIT COMMITTEE
1. January 4, 1994
2. March 1,1994
3. July 12, 1994
4. August 29, 1994
•COMMITTEE ON EXTERNAL AFFAIRS
1. October 18, 1994
2. November 15, 1994
3. December 22, 1994
»
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J
UNIVERSITY OF MASSACHUSETTS
COMMITTEE/BOARD MEETINGS
1994 MINUTES
•EXECUTIVE COMMITTEE
1. February 1, 1994
2. April 5, 1994
3. June 7, 1994
4. August 9, 1994
5. October 4, 1994
6. December 6, 1994
•BOARD OF TRUSTEES
1. February 2, 1994
2. April 6, 1994
3. June 8, 1994
4. August 10, 1994
5. September 23, 1994
6. October 5, 1994
7. December 7, 1994
•PERSONNEL AND DIVERSITY SUBCOMMITTEE
1. May 4, 1994
2. June 7, 1994
3. July 26, 1994
• ADHOC COMMITTEE ON PERSONNEL AND DIVERSITY
1. March 1,1994
2. December 20, 1994
.
UNIVERSITY OF MASSACHUSETTS
COMMITTEE/BOARD MEETINGS
1994 MINUTES
• COMMITTEE ON ACADEMIC & STUDENT AFFAIRS
• .COMMITTEE ON ADMINISTRATION & FINANCE
♦OTHLETIC COMMITTEE
• AUDIT COMMITTEE
• COMMITTEE ON EXTERNAL AFFAIRS
• EXECUTIVE COMMITTEE
• BOARD OF TRUSTEES
• PERSONNEL & DIVERSITY SUBCOMMITTEE
UNIVERSITY OF MASSACHUSETTS
AMHERST 'BOSTON • DARTMOUTH • LOWELL • WORCESTER
MINUTES OF THE MEETING OF THE COMMITTEE ON
ACADEMIC AND STUDENT AFFAIRS
Wednesday, January 19, 1994; 3:00 p.m.
Knapp Room
18 Tremont Street
Boston, Massachusetts
Committee and Committee Staff: Chair McNeil; Trustees DiCara, Finnerty and Poduska; Mrs. Fontaine,
Secretary to the Board
Committee Members Absent: Trustees Dickson and Karam
University Administration: President Hooker; General Counsel Kirby; Executive Vice President
Sessoms; Ms. Lay ton, Assistant Vice President, Academic Affairs; Ms. Nethersole, Director of Student
Affairs; Provosts Gordon, Safwat, Anderson and Foy; Professor Leheney, UMASS Amherst
Guest: Tossie Taylor, Associate Vice Chancellor for Academic Affairs, Higher Education Coordinating
Council
Chair McNeil convened the meeting at 3:03 p.m. She welcomed Tossie Taylor, Associate Vice
Chancellor for Academic Affairs, of the Higher Education Coordinating Council.
The first item on the agenda was the Award of Tenure on the Worcester campus to Dr. Jack L.
Leonard, Professor of Nuclear Medicine at UMASS Worcester. Chair McNeil noted that this
recommendation received full support from all levels at the campus.
It was moved, seconded and
VOTED : To recommend that the Board concur with the President in the award of tenure to Dr.
Jack L. Leonard, Professor of Nuclear Medicine, UMASS Worcester. (Doc. T94-014)
The next item was a Transfer of Tenure for Dr. R. Glenn Brown from the Department of Nutrition to
the Department of Veterinary and Animal Sciences at UMASS Amherst. Vice President Story commented
that this transfer would better suit Dr. Brown's teaching and research accomplishments, and that this
recommendation has the support of the respective department chairs and administrators.
It was moved, seconded and
VOTED : To recommend that the Board concur with the President in the transfer of tenure of Dr. R.
Glenn Brown from the Department of Nutrition to the Department of Veterinary and
Animal Sciences, UMASS Amherst. (Doc. T94-017)
Vice President Story then made several announcements. First, he commented on the status of the
proposed collaborative Nursing Ph.D. Program. He indicated that a revised document has been prepared
which is more collaborative and identifies the strengths at both Amherst and Worcester, and that the
award of the degree will be from the campus of the dissertation advisor, but must have the approval of
the other campus. He said that there will be a review of the program by an outside visitation team and,
upon completion, the proposal will be before the Higher Education Coordinating Council in March.
He also said a Program Review Policy (previously undertaken by the former Board of Regents) for
the system is being developed. This Policy is expected for review by the Committee in the Spring.
Finally, he reported on the Engineering Study commissioned for the system to study the engineering
colleges and programs at UMASS Amherst, Dartmouth and Lowell. It is expected that a report will be
made available to the Committee in the near future.
Turning to the discussion items, Vice President Story started the discussion of the Report on
Achieving Tenure by giving some history and background comments. The idea of tenure as a system is a
concept of the American Association of Professors (AAUP) which is a professional organization founded
in World War I to defend faculty who opposed American participation in that war. Tenure became more
widespread in the early 1920's. It spread in the north, mostly in elite universities, but it included even the
big 10 and big California universities. It was formalized and strengthened in the 1940's when the AAUP
issued guidelines about tenure. It has become an issue in the late 1980's and 1990's for financial reasons
and concern about long term quality, particularly with the elimination of mandatory retirement, and
there is a question of redirection of the institution. Tenure does protect faculty rights so it continues to
serve the purpose for which it was originally instituted.
Chair McNeil said part of the reason for looking at the tenure process was the issue of quality and
whether quality is being maintained. The second part is whether the University should have a process of
review for senior faculty members and that issue needs further discussion at the campus level and by the
Board.
In response to a question, President Hooker said there are two large generic questions that should be
asked in looking at whether tenure serves the academy. One question is whether it is important to
guarantee quality in the academic process to guarantee faculty the right to express unpopular views. The
other large generic question is whether tenure works to reduce faculty productivity. President Hooker
added that he thinks there will be in the coming decade three responses to the "problem" of tenure: some
system of periodic review of tenured faculty more in-depth than present annual review, an effort to cap
tenure at age of 65, and efforts by some state legislators to abolish tenure or to mandate faculty
workloads.
After additional discussion, Chair McNeil then asked the Provosts to respond to this issue. Among
the comments, the provosts mentioned the need to address standards for promotion and the reward
system and faculty development. In concluding the discussion, Chair McNeil indicated that this needed
further discussion and asked the Provosts to raise the issue at the campuses as well.
Vice President Story then introduced Ms. Rita Nethersole, Director of Student Affairs who then made
a presentation to the Committee on Community College Articulation . The Committee commended Ms.
Nethersole on this report and its organization and brevity.
Ms. Nethersole said the issue of articulation between UMASS and the Community Colleges has
become more significant over the past several years with the growth of the system and the increases in
costs of attendance at state institutions. In addition, the issue of articulation is linked to a variety of other
higher education concerns including segmental mission, cost, admissions policy, financial aid, diversity
and enrollment management. Ms. Nethersole summarized the existing articulation agreements and the
issues and requirements: the HECC Transfer Compact, the Joint Admissions Project and specific
agreements between individual UMASS Departments and Community Colleges.
Vice Chancellor Tossie Taylor commented on the importance of the report and said that this issue
presents an opportunity for a tremendous amount of dialogue within the system.
Vice Chancellor Foy then spoke to the Committee about the added item to the agenda, Under-
Enrolled Programs and the Role of Continuing Education . He informed the Committee that as a step
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toward focusing the campus' limited resources on its strategic core, a review of the under-enrolled degree
programs was conducted during the Fall of 1993. As a result of the process, a campus decision has been
made not to accept new students into nine degree-granting programs. Those programs are: at the
master's level, Polymer Science, System Engineering, Music Theory /Composition and Musicology; and at
the Bachelor's level, French, Spanish, Radiological Health Physics, Music Composition, and Music
History/Literature.
Assistant Vice President Layton then distributed and spoke to the results of the survey of members of
the legislature and key staff officials. The survey, which was undertaken in November /December,
received a 42% response rate. The results showed that access to the University and the quality of teaching
are considered top priorities. The next step is to incorporate results into the report card, as well as
communicate the results to the Legislature and disseminate them to the campuses. On the report card
itself, she said it should be available by April. Vice President Story acknowledged the assistance of
graduate intern Alice Gail Bier in this effort.
Assistant Vice President Layton then spoke to the Five Campus Peer Study Update and distributed
information about expenditures per student, student revenues per student, state revenues per student,
state vs. student share over time and state vs. student share compared to peers. At UMASS, revenues
from students rose significantly higher than at peer institutions between FY89 and FY92 while
expenditures rose only modestly and state revenues declined severely. State revenue now accounts for
half or less of total revenue and student share has risen to 50% in 1992.
Vice President Story also thanked Matthew Chiccuarelli, for his help in putting together the Peer
Study Information.
There being no further business, the meeting adjourned at 4:52 p.m.
' c.
Cynthia A. Fontaine
Secretary to the Board of Trustees
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UNIVERSITY OF MASSACHUSETTS
AMHERST 'BOSTON -DARTMOUTH • LOWELL • WORCESTER
MINUTES OF THE MEETING OF THE
COMMITTEE ON ACADEMIC AND STUDENT AFFAIRS
Tuesday, March 29, 1994; 3:00 p.m.
Board Room
18 Tremont Street
Boston, Massachusetts
Committee and Committee Staff : Chair McNeil; Trustees Finnerty and Poduska; Mrs. Fontaine,
Secretary to the Board
Committee Members Absent : Trustees Dickson, DiCara and Karam
University Administration : President Hooker; Vice President Story, Ms Layton, Assistant Vice President;
Ms. Nethersole, Director of Student Affairs; Provosts Gordon, Safwat, Anderson and Bratt; Vice
Chancellor Foy
The meeting convened at 3:05 p.m. Vice President Story made the following announcements: the
Higher Education Coordinating Council (HECC) has approved the Collaborative Ph.D. Program in
Nursing at Amherst and Worcester; the Stage 1 proposal in Organismic and Entomology at the Amherst
Campus is also expected to be approved at the next meeting of the HECC. He also noted that a
comprehensive Engineering Study is nearing completion and will soon be sent out for campus comment,
review and response. The report will help guide the University in the disposition of pending programs in
Engineering and help shape future developments in Engineering. Finally, he said the Report Card to the
Legislature is expected to be finished by the end of next month.
The first item on the agenda was Awards of Tenure, UMASS AmhersL UMASS Boston . Trustee
Finnerty asked about the ratio of tenured faculty to all faculty within the system. Vice President Story
answered that it is about two thirds, virtually the same as it was last year because there have been few
hires. It was moved, seconded and
VOTED : To recommend that the Board concur with the President in the award of tenure
to the following individuals:
Amherst
Dorothy Gilbert - Nursing
Karen Heifer - Communications Disorders
Matthew Kelty - Forestry and Wildlife Management
M. Christine King - Nursing
John Kingston - Linguistics
Randall Knoper - English
Patricia Lasch - Art
Craig Martin - Chemistry
David K. Scott - Physics and Astronomy
Nancy Sheard - Nutrition
Nathaniel Whi taker - Mathematics and Statistics
Boston
Jane Adams - Psychology
Randy Albelda - Economics
Jill Rierdan - Psychology (Doc. T94-042)
The next item was a formal resolution withdrawing the Doctor of Nursing Science Program,
UMASS Lowell from the Higher Education Coordinating Council agenda while the University explores
the potential for a collaborative program between Lowell and Boston.
It was moved, seconded and
VOTED : To recommend that the Board withdraw from further consideration by the Higher
Education Coordinating Council, the Stage II proposal for a Doctor of Nursing Science at
UMASS Lowell as contained in Doc. T91-112.
The next item was a Stage II proposal for a M.A. in Teaching , UMASS Dartmouth. Vice President
Story noted the Stage 1 proposal was approved in 1991 and is in step with the campus's plan to develop
programs at the graduate level. It also accommodates the new accreditation rules and taps into existing
programs on the campus.
Provost Anderson introduced Suzanne Buckley, Dean of College of Arts and Sciences who spoke
about how the proposed program would build on the strengths of the Colleges in outreach and
community programs. It was moved, seconded and
VOTED : To recommend that the Board approve the Stage II proposal for a Master of Arts
in Teaching at UMASS Dartmouth as contained in Doc. T91-112.
Under item B, Discussion Items, Assistant Vice President Layton spoke about the Centers and
Institutes Report. She distributed a page omitted from the report. She summarized the information in
the report noting that Centers and Institutes cover a wide range of categories and disciplines. Across the
system we have 66 centers and institutes, 9 of which can be traced to legislative action. Overall in 1992-93
Centers and Institutes brought in $38 million in revenue with a vast majority being in grants and
contracts. The basic conclusion is that these organizations are important vehicles for faculty, do not take
enormous institutional resources, but should nevertheless be overseen carefully at the campus level.
Assistant Vice President Layton then summarized recommendations in the report:
1. Approval and review of Centers and Institutes should be a campus-based activity. Campus policies
governing the approval and review of centers and institutes should be approved by the Board of
Trustees.
2. Campus policies governing approval and review should include a set of common criteria for
evaluating proposed Centers and reviewing existing ones. These criteria should include, for new
Centers, appropriateness to mission and goals of the campus and adequacy of resources, including
capital investment. Criteria for the review of existing centers should include success in meeting its
goals and objectives and substantive contribution to the mission of the campus. All campus policies
should provide for the periodic review of Centers and Institutes.
3. The establishment of a new Center or Institute should be reported to the President but should not
require the approval of the President or the Board of Trustees. Reviews of Centers and Institutes
should be sent to the President for the record.
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i 4. All Centers and Institutes, whether they are free-standing units outside a particular school, or sub-
units of schools, colleges, or departments, should be included under the purview of campus policies
for approval and review.
The next item on the agenda was Financial Aid Administration . Vice President Story introduced Ms.
Nethersole who explained how the campuses have responded to problems of financial aid delivery and
specifically the problems with electronic transfer applications and disbursement of funds.
She noted that vacant positions within the Financial Aid Offices are being filled and all campuses
have provided short-term loans to assist the students.
She then outlined steps to help solve financial aid problems:
• Filling vacant positions in the Financial Aid Offices, hiring of additional staff, particularly
counseling staff, to increase front desk assistance and facilitate re-evaluation and verification;
•Working with American Student Assistance (ASA), the state guarantee agency, to find ways to
improve services, and to arrange for provision of enhanced electronic capabilities to improve
processing for the 1994-95 loan cycle. ASA will also allow universities to transmit loan application
information earlier, thus allowing for the disbursement of funds to campuses before the school
years begins;
•Adding TQM training and Customer Service Training Programs;
•Investigate system wide participation in Direct Lending for improvement of service to students; the
Amherst and Lowell campuses have already applied to participate. The Direct Lending Program
" lends money from the federal government directly to students without the use of a state guarantor.
Processing and disbursement under Direct Lending promises to be a more efficient operation;
•Increased informational activities to students including regular mailings, seminars and computer
bulletin boards designed to keep student aware and informed of their role in providing information
to the Financial Aid Offices.
The Committee also heard from Mr. James Morris, Dean, Enrollment Services from the Boston
campus, who spoke about the specific problems and the steps being taken to remedy the situation as well
as expectations for the upcoming academic year.
Vice President Story then introduced the discussion of the Academic Program Review . A report by
Professor Patricia Crosson from the Amherst campus was commissioned as background information for
the development of a University-wide program review policy. This report has led to a set of
recommendations which are being reviewed by the campuses and he said he expects recommendations to
come to the Board.
Vice President Story outlined the major features of draft guidelines:
Campus Program Review Guidelines - This review is for the purpose of improving program quality.
There is built into it a strong discipline presence and external presence. There is a provision in this policy
for collaborative programs. The three criteria to guide the process are: reputation, productivity, and
connectedness. These criteria are equally weighted.
Major Reallocation Reviews add additional criteria, cenrxality to mission and cost effectiveness. The
P system-wide reviews allow the University to trigger reviews in particular fields across the University as
needed. He noted that it would be difficult and counter-productive to do a quality and a reallocation
review simultaneously.
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There was a lengthy discussion about the importance of the quality and reallocation reviews and
questions were raised about process criteria and riming. The campuses have done quality reviews in the
past, but it was stressed that what is important is for the administration to act on the reviews.
The Provosts commented on the proposal noting the need for continued campus discussion.
It was suggested that updates on this item be periodically added to this Committee's agenda.
Under informational items, Ms. Nethersole updated the Committee on the Wrap-Around Electronic
Admissions Applications . She reported that the project has generated 2328 response cards to date and
could possibly receive 1000 more. The majority of responses come from females and Massachusetts
residents. The Amherst campus generated the majority of responses with the Dartmouth campus coming
in second. The University is now looking into programs that allow an electronic application including
electronic submission of transcripts, recommendations and test scores.
The next item was the University Academic Program Brochure which was distributed to the
Committee and lists all University Academic Programs. This brochure will be used in the system office
and on the campuses for system-wide recruiting.
The last item was a Report on the Federal Budg et. The Department of Education has received an
increase of 7% over its discretionary budget, an increase of $26.1 billion. The proposed budget would
restore the largest Pell Grant to $2400 which is the largest financial aid program in the nation. In 1993-94,
students from UMASS have received over $13 million in Pell grants. Overall, there will be a net gain of
$1.2 billion in federal aid programs. An increase in the College Work Study Program includes 5% to
support students working in community service activities.
There being no further business to come before the Committee, the meeting adjourned at 4:50 p.m.
irbara DeVico
Staff Assistant
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UNIVERSITY OF MASSACHUSETTS
AMHERST -BOSTON -DARTMOUTH • LOWELL • WORCESTER
MINUTES OF THE MEETING OF THE
COMMITTEE ON ACADEMIC AND STUDENT AFFAIRS
Tuesday, May 25, 1994; 3:00 p.m.
Board Room
18 Tremont Street
Boston, Massachusetts
Committee and Committee Staff : Chair McNeil; Trustees Finnerty and Poduska; Ms. Tuthill, Assistant
Vice President for Board Relations
Committee Members Absent : Trustees Dickson, DiCara and Karam
University Administration : President Hooker; Vice President Story, Ms. Layton, Assistant Vice
President; Ms. Nethersole, Director of Student Affairs; Provosts Gordon, Andersen and Bratt; Associate
Vice Chancellor Wagner
The meeting convened at 3:05 p.m. Chair McNeil introduced the agenda and turned to Vice
President Ronald Story regarding the first Policy item on the agenda, Codes of Student Conduct . Ms.
Nethersole, Director of Student Affairs, reminded the Committee that this item is one of many in the
University's policy review program. The major goals in this five campus policy was to make the Codes
consistent regarding behavior, sanctions, processes, rights, etc. in the face of individual campus needs.
These codes also bring the campuses into compliance with the Crime Awareness and Campus Security
Act of 1990. The Boston campus review is not fully complete and should be finished in the fall but the
existing code will be included in this approval. The process was mainly driven by a legal process, begun
in January. It was moved, seconded and
VOTED : To recommend that the Board approve the Codes of Student Conduct for the Amherst,
Boston, Dartmouth and Lowell campuses as contained in Doc. T94-059. Further, to
rescind Doc's T93-055A and T87-037B, and all other policies (or any part thereof)
currently in effect in the University which are inconsistent herewith.
The next Policy item on the agenda was the Constitution of Student Government Association,
UMASS Amherst . Vice President Story turned to Ms. Nethersole who recognized the work of Senior
Counsel William Searson, Vice Chancellor Robinson and the outgoing Student Attorney General, Matt
Malone. This Constitution comes before the Committee in advance of the other campus' constitutions
due to the extensive work of the SGA students who are graduating this year. Vice Chancellor Robinson
recognized this constitution as a major accomplishment for UMASS Amherst, in particular, recognized
the leadership of Matt Malone and his peers, staff, and legal counsel, in the document. Matt Malone
spoke to the monumental undertaking that this Constitution represents, noting that the goal was to write
and establish a constitution that was practical, efficient and democratic, acceptable and accessible to
students and administrators. They reviewed many other institutions' student Constitutions and State and
Federal Constitutions, and put the draft in the hands of many for review and incorporated all changes.
Chair McNeil asked Mr. Malone to introduce the other students who were involved in this work:
Christine Lopes, Mirren Raphaelly, Lynne Robataille, Steve Cohen, Amy Boyd, Bill McNamara and
Trustee Lizana. Chair McNeil further recognized the excellent work of the students and praised the
inclusiveness of the process. Mr. Malone recognized that their ability to achieve finality on the document
is due to the greater cooperation between students and administration and the more bureaucratic rather
than political nature of the document. Trustee Lizana further recognized the leadership and dedication
of Matt Malone in bringing the document to fruition. It was moved, seconded and
VOTED : To recommend that the Board approve the Constitution of the Student Government
Association at the Amherst campus as contained in Doc. T94-060.
The next item on the agenda for action were the Awards of Tenure UMASS Amherst. Boston,
Dartmouth. Worcester and the A ppointment with Tenure. UMASS Dartmouth . Vice President Story
asked it to be noted that the Amherst cases should read "excellent" in Research as opposed to "strong" in
research. Further, the information for the award of tenure at UMASS Worcester was not in the mailing
but was distributed at the table; Provost Bratt noted that the vote by the Executive Council of Faculty
should read "14-0-1" given that there was not a vote against, but an abstention. This tenure pool includes
1 African- American and 5 women out of the 11 cases. It was moved, seconded and
VOTED : To recommend that the Board concur with the President in the award of tenure to the
following individuals in the following Departments:
Amherst
Neal Anderson— Electrical and Computer Engineering
Yossi Chait— Mechanical Engineering
Boston
Judith Goleman— English
Mary O'Brien—Nursing
Pamela Jones Roth well— Art
Frank Porell— Gerontology
Nancy Smith-Hefner— English
Dartmouth
Helen Fine— Management/Human Resources
Raymond Laoulache— Mechanical Engineering
Worcester
Jon Goguen— Molecular Genetics and Microbiology
(Doc. T94-056)
And further,
To recommend that the Board concur with the President in the appointment of Dr.
Lawrence B. Logan as Associate Professor in the Department of Accounting and Finance
with tenure at UMASS Dartmouth. (Doc. T94-061)
The next item for action was the M.A./PH.D. in Afro-American Studies, UMASS Amherst . Chair
McNeil noted the excellence of the proposal for this program and commended the Committee for a job
well done. Vice President Story then spoke to the proposal, recognizing it as an exceptionally well-
crafted proposal and further noted its importance as being interdisciplinary as well as intercampus in
nature as it includes UMASS Boston faculty. The proposal has received widespread support and Vice
President Story read very strong comments from letters of support from institutions throughout the
country which were solicited, particularly to determine support for the program and the job market for
graduates. In addition, School Superintendent Negroni of Springfield, Superintendent Garvey of
Worcester and Mayor Menino of Boston offered strong endorsement and cited the need for this type of
training for future school leaders.
Chair McNeil asked that the members of the Afro-American Studies department introduce
themselves. They include Professors Michael Thelwell, John Bracey, Ernest Allen and Chair of the
Department, Esther Terry. Trustee Lizana remarked that this type of program has the potential to
stabilize the relationships between students on the campus in the area of race relations, particularly as
many of the student leaders who are Afro-American Studies majors may continue their studies as
graduates and hold the institutional memory. Provost Gordon noted the importance of this type of
interdisciplinary program as generating and offering the varied perspectives necessary in higher
education. It was moved, seconded and
VOTED : To recommend that the Board approve the Stage 1 proposal for a M.A./PH.D. in Afro-
American Studies academic degree program at UMASS Amherst as contained in Doc.
T94-057.
Vice President Story informed the Committee that Stage 2 and the next review may take place in
October given the extraordinary preparation in the Stage 1 proposal. The proposal is, however, subject to
the HECC review. Trustee Poduska further offered any appropriate support that the Trustee's might give
to ensure the timeline for approval.
The next item on the agenda was the establishing of the Frederick S. Troy Professorship, and the
Designatio n of Lloyd Schwartz as the Frederick S. Troy Professor, UMASS Boston. Chair McNeil
remarked on this excellent recognition of Dr. Troy in establishing this Chair. Provost-designate Esposito
spoke to the highly acclaimed work of Professor Schwartz in the area of criticism and creative writing and
the pride that the Boston campus takes in his being a member of the faculty. It was moved, seconded and
VOTED : To recommend that the Board approve the establishment of the Frederick S. Troy
Professorship as contained in Doc. T94-058.
And further,
To recommend that the Board designate Professor Lloyd Schwartz as the Frederick S.
Troy Professor at UMASS Boston as contained in Doc. T94-058, Addendum 1.
The next item on the agenda was an informational item, a report on the Ad Hoc Committee on
Personnel and Diversity . Chair McNeil turned to Vice President and General Counsel Kirby to report on
this Committee in the absence of Trustee Reed. There were three items discussed at the May 4 meeting.
The first was Affirmative Action plans which the Subcommittee agreed should be made available to the
Board every three years with annual updates provided. Each campus would have their plan reviewed at
upcoming Committee meetings. The Affirmative Action plans will be brought to the Board through the
Executive Committee. The second item was the Workforce Redesign Policy which was brought forward
from the Medical Center. Deputy Chancellor Stanton had reported at the meeting that any reductions in
force would be handled under existing policy and the issue was tabled until further notice. The last item
on that agenda was the report by Chancellor Hogan on the Diversity Task Force which will have another
draft report in June and the final report will be available in October.
The next information item on the agenda was School-University Collaboration . Assistant Vice
President Layton reported on an informational study conducted over the past 18 months which
originated with a request by President Hooker shortly after he arrived. The findings include:
1. Faculty and staff are engaged in well over 300 projects, system-wide, that deal with schools, and
cover all areas of the University, all levels of the K-12 sector and dozens of communities.
2. Half of the projects involve students, including counseling programs to educational experiences.
3. Another one-third of the projects involve professional development opportunities for teachers,
exclusive of the teacher education preparation programs.
4. A good number of projects involve faculty in curriculum development and instructional tools
including software or particular topic focus.
5. There are a few projects dealing in school-wide reform which include consultation on planning,
involvement in particular topics, working with the Mass. Department of Education on a reform
initiative, etc.
6. Several are aimed at leadership development or assistance to school administrators,
7. A few projects are community or family-based but related to schools.
8. Approximately half of the projects originate from the Amherst campus; system-wide
approximately one-third of the projects originate from schools or departments of Education with
the other two-thirds from various departments and a good number in math and science.
9. There are a few multi-campus projects including UPDATE, Physics Alliance, and Upward Bound.
Ms. Layton then suggested that, in terms of next steps, this information could generate positive public
relations information and has been given to the Vice President for University Relations and Development.
In addition, all of the Provosts have the materials and they are encouraged to use this for public relations
but also to disseminate this to build a network of people involved in the same kinds of projects. Ms.
Layton identified that where Amherst is responsible for about 50% of the programs, Worcester, Lowell
and Boston hold approximately 12-13% each of the mix and Dartmouth has approximately 9%. Provost
Bratt expanded on the information given regarding the programs at Worcester which are quite extensive
given the level of educational programs at the Medical Center. Trustee Lizana commented on the
importance of this type of information in informing members of the Legislature about the extensive work
that the University does in the state. There was additional discussion about the potential funding from
the Federal government for these kinds of programs.
Chair McNeil then announced that this would be Vice President Story's last Committee meeting as he
will be leaving to work at the Amherst campus and expressed her thanks to him. Vice President Allen
Sessoms will assume the position of Acting Vice President for Academic Affairs. Chair McNeil
recognized the leadership and effort of Vice President Story in bringing the University fully into a system
of higher education. Vice President Story noted that he enjoyed his position as VP for Academic Affairs,
and appreciated the opportunity to work with three fine Committee Chairs, including Trustees Taylor,
Poduska, and McNeil. He also noted the commitment of Trustee Finnerty to this Committee and
expressed his appreciation to the Provosts, the Academic and Student Affairs Department staff, Ms.
Layton and Ms. Nethersole, and his enjoyment working with President Hooker.
There being no further business to come before the Committee, the meeting adjourned at 3:55 p.m.
Elizabeth H. Tuthill
Assistant Vice President for Board
Relations
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UNIVERSITY OF MASSACHUSETTS
AMHERST -BOSTON •DARTMOUTH • LOWELL • WORCESTER
MINUTES OF THE MEETING OF THE
COMMITTEE ON ACADEMIC AND STUDENT AFFAIRS
Tuesday, July 27, 1994; 3:00 p.m.
Board Room
18 Tremont Street
Boston, Massachusetts
Committee and Committee Staff : Chair Taylor; Trustees DiCara, Finnerty and Karam; Vice President
and Secretary Boyd; Ms. Tuthill, Assistant Vice President for Board Relations
Committee Members Absent : Trustees McNeil, Morrissey and Poduska
Other Trustees : Trustee Bok
University Administration : Vice President Sessoms; General Counsel Kirby; Chancellors Cressy and
Hogan; Provosts Gordon, Andersen, Bratt and Tripathy; Engineering Deans Curry, Crugnola, Goldstein
and Kibel; Nursing Deans Cherry, Dreher, Goodman, Stecchi; Nancy Dluhy, UMD College of Nursing
Guests : Larry McKenna
Trustee DiCara convened the meeting at 3:05 p.m. in the absence of Trustee Taylor who is chairing
the meeting in the absence of Trustee McNeil, and suggested that the Committee begin with the action
item, recommendations on the Future of Engineering . Vice President Sessoms described the intent of the
University Administration in undertaking this first system-wide study in one department. He thanked
the individuals who contributed to the study's completion. Mr. Sessoms went on the describe the
situation in engineering which made the study so important. He synthesized the recommendations of the
report and asked the Committee to refer to the vote which lays out the specific terms of the immediate
future. Vice President Sessoms said further that, though there may be some disagreement on the specifics
of the vote, there is overall agreement that this study has produced very positive discussion.
Dean Thomas Curry from UMASS Dartmouth then presented, on behalf of the four campus deans,
their collective response to the study and the vote that is before the Committee. He passed out materials
which outline this response, reviewing the purpose, chronology, and importance of the study. The areas
of concern which Dean Curry identified include: the restriction on new program resources; the restriction
on state-funded faculty lines; the restriction on new facilities. Discussion on faculty positions ensued, and
it was determined that the resources for hiring faculty members, that is, the number of tenure track
faculty currently employed, not the actual number of faculty line positions available was at issue. The
vote does not authorize control of actual faculty lines from the central office; the proposal is designed to
keep the total number of faculty in engineering from increasing when there currently exists an excess.
The vote would establish the Task Force and give it particular guidelines in the area of faculty hiring, but
would report back to the Board with a more specific, longer-term recommendation.
Mr. McKenna, was recognized by the Chair and spoke to the Committee about the study's genesis
and, in particular, the issue of faculty headcount. Mr. McKenna described the study group's focus on
developing a balance among the difficult areas, with their greatest concern being a determination of the
basis for existence of some of the programs, and the headcount constraint was suggested in order to urge
the deans to make the difficult decisions.
Further discussion led the Committee to agree to amend the current vote by changing the original
date of the Task Force report to the Board from June, 1995 to December, 1994 and clarified the language
regarding faculty positions and next steps for the Board to take, lacking satisfactory progress by the Task
Force by the December deadline. The Chairman suggested that the Committee move to the other
business on the action agenda and then return to this vote.
The second item on the agenda was Awards of Tenure, UMASS Amherst. Boston. Lowell and
Worcester . Several of the Trustees expressed interest in the award process and the high percentage of
tenured faculty. One reason why the rates of tenured faculty is so high is that there is a high percentage
of tenured faculty of retirement age who are not retiring. It was suggested that this issue be studied to
determine the potential seriousness of the percentage of aging non-retiring faculty. In addition, the hiring
decisions were discussed as being increasingly important as there is a higher percentage of persons hired,
who are highly qualified for tenure due to a higher level of selectivity in the applicant pools.
After further questions on specific candidates for tenure, Chair Taylor made the motion,
seconded and
It was
VOTED : To recommend that the Board concur with the President in the award of tenure to the
following individuals in the following Departments:
Amherst
Anne Averill, Entomology
Yon-Chun Chou, Industrial Engineering & Operations Research
Jeanette Cole, Art
Susan Han, Plant & Soil Sciences
Marcellette Williams, English
Boston
■* Elizabeth Fay, English
Marietta Schwartz, Chemistry
Lynne Tirrell, Philosophy
Lowell
John Buford, Computer Science
Robert Karasek, Work Environment
Efrem Mallach, Manufacturing & Management Information Systems
Margaret Manion, Promotion to Librarian III & Tenure
Sammy Shina, Mechanical Engineering
Chris Tilly, Policy & Planning
Worcester
Craig Ferris, Psychiatry
(Doc. T94-072)
Chancellor Hogan noted that there are two more cases from the Lowell campus that have been
recommended by the campus for tenure. Lacking the specific additional information that was requested
by the President for bringing these two cases for the Committee, they are not on the agenda today.
Chair Taylor then returned to the vote on the Future of Engineering . It was moved, seconded and
VOTED : To recommend that the Board commend the Engineering Study Team for its outstanding
Report on the engineering programs of our constituent campuses.
And,
>
To authorize and direct the President to commence implementation of the Report's
recommendations as follows:
Individual Campus Implementation of Report Recommendations 5,7,8,10,11,12
1. To direct each campus to begin implementation of Report Recommendations 5, 7, 8, 10,
11 and 12. Chancellors shall report to the President and the Board no later than October,
1995 on steps taken by their respective deans to begin implementation of this set of
recommendations.
Collective Implementation of Report Recommendations 1,2,3, 4, 6, 9, 13
2. To appoint a Task Force, to be chaired by the Vice President for Academic Affairs and
including the engineering deans from Amherst, Dartmouth and Lowell and the Dean of
the Faculty of Sciences at Boston, and one or more representatives from industry. The
Charge of the Task Force will be: 1) to develop a long-term plan for the implementation
of Report Recommendations 1, 2, 3, 4, 6, 9 and 13, and especially for the development and
allocation of programs, facilities and faculty positions within the System, and, within the
constraints of limited resources; 2) to invite collaborative proposals in
telecommunications engineering and other new fields highlighted by the Report; and 3)
to proceed with the development of a Boston-area undergraduate program through the
deployment of existing resources.
In carrying out its charge, the Task force shall work within the following constraints:
- There should be no new free-standing, single-campus undergraduate or graduate
engineering programs not already approved by the Board. Exceptions may be
"* recommended to the Committee on Academic and Student Affairs only where a campus
can clearly demonstrate to the satisfaction of the Task Force that it can offer such a
program without incurring additional costs, or can cover all new costs from internal
reallocation, including program closures or reductions, and that it can meet standard
criteria for program approval.
- Lacking guidance from the Task Force for reallocating engineering resources from
campuses with excess capacity to campuses with need by the December 7, 1994 Board
meeting, there should be no net new state-funded faculty positions in engineering within
the System. An exception to this guideline may occur where the addition of such
positions is clearly intended to increase faculty diversity and such position is approved
by the Board.
- There should be no new engineering facilities except those already initiated and in the
construction stage. Where possible, facilities already in the construction stage shall
include full distance education capacity and shall be supported by substantial non-state
funding.
The foregoing will be in effect as interim measures until the Board takes other actions in
light of recommendations made by the Task Force.
And,
To direct the President to report on the progress of the Task Force to the Board at its
December meeting and regularly thereafter.
Trustee Karam noted his abstention from the vote.
The next item to come before the Committee was the A ppointments with Tenure, UMASS Amherst
and Boston . It was moved, seconded and
VOTED : To recommend that the Board concur with the President in the appointments with tenure
to the following individuals in the following Departments:
Amherst
Arturo Escobar, Anthropology
Lila Gierasch, Chemistry
Derek Lovely, Microbiology
Boston
Woodruff Smith, History (Dean of the Liberal Arts Faculty in the College of Arts and
Sciences)
(Doc. T94-073)
The next item on the agenda was the Designation of Distinguished Professor, UMASS Amherst. It
was moved, seconded and
VOTED : To recommend that the Board designate Dr. H. Henning Winter as Distinguished
Professor at UMASS Amherst as contained in Doc. T94-076.
The next item on the agenda was the Master of Arts in Dispute Resolution, UMASS Boston . Vice
President Sessoms noted that this program has been very popular at the UMASS Boston campus and it
will be a very positive addition on the masters level.
It was moved, seconded and
VOTED : To recommend that the Board approve the Stage II proposal for a Masters of Arts in
Dispute Resolution at UMASS Boston as contained in Doc. T93-028, Addendum 1.
The next item on the agenda for discussion was Doctoral Education in Nursing . Vice President
Sessoms noted that this is the first opportunity the Committee has had to discuss nursing education and
introduced the deans of the nursing schools who were present to provide information about their
programs. Specifically, the discussion focused on the possibility of establishing a collaborative program
between UMASS Boston and Lowell which will emphasize the policy side of nursing education, unlike
the clinical program between UMASS Amherst and Worcester. Vice President Sessoms went on to refer
to documentation which supports the need for the additional Ph.D. program.
Dean Brenda Cherry (UMASS Boston) and Dean Jan Stecchi (UMASS Lowell) presented information
to the Committee on the background and purposes of the proposed collaborative program between the
two campuses. Dean Melanie Dreher (UMASS Amherst) and Dean Lillian Goodman (UMASS Worcester)
spoke to the early successes of the new program between the two campuses, and the importance of the
collaborative Ph.D. between Boston and Lowell. Further, Nancy Dluhy, Director of Graduate Programs at
the Dartmouth campus's School of Nursing, spoke to their support that she and her colleagues offer to
this endeavor. Chair Taylor noted that the Trustees continue to encourage collaborative programs among
the campuses, such as the Worcester-Amherst program, and look forward to hearing about the progress
of the proposed program between Boston and Lowell. He further asked the nursing deans at Boston and
Lowell to be sure to offer information about the need for this degree on the job market to ensure the
usefulness and the defensibility of the program before the legislature and the citizens of the
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Commonwealth. Chair Taylor then thanked Vice President Sessoms for bringing this discussion before
the Committee.
The final discussion item was the Draft Measurable Goals for Teaching and Learning . Chair Taylor
urged the Chancellors to take every indicator and write it so that the Trustees can identify the target
described in the indicator and it should be clear to whoever reads the reports that the campus has
succeeded or failed within the words of the indicator. Chair Taylor further noted that this information
will be an effective management tool that should be used by all people on the campuses.
Chair Taylor then asked Chancellor Cressy to introduce the new Provost at UMASS Dartmouth, Dr.
Benjamin Taggie from Millersville University of The Pennsylvania State System. Chair Taylor recognized
Dr. Bryce Anderson for his work as Acting Provost at UMASS Dartmouth. He further thanked outgoing
Provost Glen Gordon from the UMASS Amherst campus for his work on behalf of the University as
Provost for the past three years.
There being no further business to come before the Committee, the meeting adjourned at 5:40 p.m.
Elizabeth H. Tuthill
Assistant Vice President for Board
Relations
§
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UNIVERSITY OF MASSACHUSETTS
AMHERST • BOSTON • DARTMOUTH • LOWELL • WORCESTER
MINUTES OF THE MEETING OF THE
COMMITTEE ON ACADEMIC AND STUDENT AFFAIRS
Tuesday, September 13, 1994; 3:00 p.m.
Board Room
18 Tremont Street
Boston, Massachusetts
Committee and Committee Staff : Chair Taylor; Trustees DiCara, Finnerty, Morrissey and Poduska; Vice
President and Secretary Boyd; Ms. Farrell, Assistant Vice President for Board Relations
Committee Members Absent : Trustees Karam and McNeil
University Administration : Vice President Sessoms; Chancellor Cressy; Provosts Crosson, Esposito,
Bratt, Taggie, and Tripathy; Nursing Deans Cherry and Stecchi; Deputy Provost Aitken; Ms. Layton,
Assistant Vice President; Ms. Nethersole, Director of Student Affairs; Ms. Griesemer, Associate Vice
President
Trustee DiCara convened the meeting at 3:05 p.m. in the absence of Trustee McNeil, and at the
request of Chancellor Cressy, began with action item #3 on the agenda, Appointment with Tenure,
UMASS Dartmouth . Chancellor Cressy introduced Dr. Benjamin Taggie, and reiterated his
recommendation to the President that Dr. Taggie be appointed with tenure.
It was moved, seconded and
rj
VOTED: To recommend that the Board concur with the President in the appointment of Dr. ^
Benjamin Taggie as Professor in the History Department, with tenure at UMASS -j
Dartmouth. (Doc. T94-087) *
The next item on the agenda was the Associate of Science Degree with Individual Concentration,
Stage II, UMASS Amherst . Provost Crosson said the program is modeled on the BDIC degree that has
been very successful over many years. The ADIC is designed for students in the Stockbridge School. The
program offers students an opportunity to design an interdisciplinary program giving them a specialized
concentration. This program does not demand additional resources as it utilizes current faculty and
courses. They anticipate that there would be approximately 10-12 students in the program at any one
time. Vice President Sessoms explained that the proposal was being submitted as a Stage II without a
Stage I review because it is exceedingly straightforward and does not involve any new resources.
It was moved, seconded and
VOTED : To recommend that the Board approve the Associate of Science Degree with Individual
Concentration (Stage II) academic degree program at UMASS Amherst as contained in
Doc. T94-085.
The timeline for this program is to present it to the Higher Education Coordinating Council after the
October Board meeting. It is anticipated that final approval from the HECC should come by the end of
autumn.
The next action item was the Ph.D. in Nursing, Stage I, UMASS Boston. UMASS Lowell . Vice
President Sessoms introduced this item by saying that this program has a public policy focus,
distinguishing it from the UMASS Amherst-Worcester program which is a clinical program. The
proposal is being presented as a Stage I. After Board approval, it will be sent informally to the Higher
Education Coordinating Council, and an outside review team will be assembled. After the Board
approves the Stage II proposal, the HECC will receive the full Stage II and it should be through the HECC
process in the spring. Provost Esposito, Provost Tripathy, and Deans Cherry and Stecchi each spoke to
the importance of this program, particularly as a public policy program and the impact that doctorally
trained nurses will have on faculty and graduate and undergraduate training. Discussion continued
regarding the impact of health care reform on nursing and the importance of this program serving
Massachusetts students and citizens. Vice President Sessoms noted that the program is a good example
of an effective, collaborative effort between the two campuses.
It was moved, seconded and
VOTED : To recommend that the Board approve the joint Ph.D. in Nursing (Stage I) academic
degree program at UMASS Boston and UMASS Lowell. (Doc. T94-086)
The next item on the agenda was the Termination of Faculty, UMASS Lowell . Trustee DiCara noted
that this item is the result of contractual language stipulating that the Board must vote on contract non-
renewals for faculty. Provost Tripathy further noted that this is a typical notification item in the tenure
process.
It was moved, seconded and
VOTED : To recommend that the Board authorize the Chair of the Board to send notice of
termination effective May 31, 1995 to faculty members at UMASS Lowell as contained in
Doc. T94-089.
The next item on the agenda for discussion was the Core Curriculum at the University of
Massachusetts . Vice President Sessoms began by saying that the core curriculum is a critical part of the
education of students at the University and must be addressed in order to achieve the vision of the
UMASS system as top in the country. The core curriculum is intended to provide breadth of education
that will give students the skills they need to pursue their major subjects and life outside of the classroom.
Each Provost was asked to present information on this subject.
Provost Crosson reiterated the importance of general education and the fact that the debate regarding
the core has been going on for many years at most institutions of higher education in the country.
Provost Crosson noted that the Amherst campus's general education requirement seeks to provide a
breadth of educational courses and also provide analytical, writing, and critical thinking skills. Deputy
Provost Aitken then reviewed the specific requirements and explained the process by which a course is
identified as a core course. Extensive discussion regarding the importance of writing and public speaking
ensued, and it was further emphasized by Trustee Poduska that computer education and the use of
computers in education should be strongly pursued. Provost Crosson explained that the core curriculum
hasn't been fully implemented due to the extensive resources it can demand. The Provosts were asked to
give consideration to how the Trustees can contribute to helping improve the effectiveness of core
curriculum. Further discussion regarding reducing the number of credit hours in a degree program was
held.
Provost Esposito then described the core curriculum program at UMASS Boston, identifying the
major goals and the components. The breadth component is seen in the distribution courses, and the
depth component seeks to build on skills. Provost Esposito also noted that the general education courses
that are being considered for the campus are highly resource-intensive.
Provost Taggie noted that the UMASS Dartmouth campus does not have a campus-wide core
curriculum, and that each college has its own distribution requirements. The Dartmouth campus has
had numerous debates regarding general education and whether to adopt a curriculum university-wide.
Much of the argument focuses on the resources issue. Regarding writing preparation, Provost Taggie
noted the importance of incorporating assessment tools in the writing courses to have the greatest impact
on students.
Provost Tripathy then commented on the question of credit hours for graduation and the usage of
computers, that not only do students need computers, but faculty members as well. Regarding the core
curriculum, Paul Rahmeier, Vice Chancellor for Academic Affairs, identified the eight categories of
thematic clusters that make up the core. A problem that the campus has had is regarding transfer
students and what courses in the core curriculum they are required to take after transferring.
Trustee DiCara thanked all of the Provosts for their presentations. He further suggested that this
subject be revisited at this Committee again in six months. Trustee DiCara further suggested that the
President's Office poll the student trustees of the past five years and ask them to comment on the
education that they had received, and identify what may have been lacking. Vice President Sessoms
commented that the core curriculum is an area where we must work as a system and Trustee DiCara also
noted that it also has an important connection with articulation agreements and similarities can be built.
c
Next on the agenda was the informational item, Procedures for Review of Tenure Cases . Vice
President Sessoms informed the Committee that in response to Trustee Bok's concerns regarding the
percentage of faculty who receive tenure the President's Office will look more carefully at individual
tenure cases. jj
The next item on the agenda for information was Procedures for Review of Academic Program
Proposals and Status of Academic Program Proposals . Vice President Sessoms noted that the HECC has
been very responsive to suggested improvements in procedures for approval of academic programs, and
he is working closely with the staff there. Discussion of the status of various program proposals was
held, and Trustee DiCara asked that there be an update on the status of these programs in six months.
The next informational item was an Update on the Engineering Task Force . Vice President Sessoms
reported that the Task Force has met, and the Board will receive a report and recommendations in a
December.
The next item on the agenda was the Joint Task Force on UMASS and Community Colleg e
Relations . Associate Vice President Lynn Griesemer reported that the Task Force, co-chaired by
President Hooker and Holyoke Community College President David Bartley, will meet this week . The
objective of the group is to study articulation and transfer agreements, program development and
duplication, resource development and external relations. The timeline is to work for approximately nine
months, producing a report with an agenda for the future in May or June, 1995, .
There being no further business to come before the Committee, the meeting adjourned at 4:35 p.m.
S^TidrUoJ^r r oft
Elizabeth Tuthill Farrell
Assistant Vice President for Board
Relations
UNIVERSITY OF MASSACHUSETTS
AMHERST -BOSTON • DARTMOUTH • LOWELL • WORCESTER
MINUTES OF THE MEETING OF THE
COMMITTEE ON ACADEMIC AND STUDENT AFFAIRS
Wednesday, November 30, 1994; 3:00 p.m.
Board Room
18 Tremont Street
Boston, Massachusetts
Committee and Committee Staff : Chair McNeil; Trustees Kraft and Poduska; Ms. Farrell, Assistant Vice
President for Board Relations
Committee Members Absent : Trustees Karam and Morrissey
Other Trustees : Trustees Bok and Giblin
University Administration : President Hooker; Chancellor Hogan; General Counsel Kirby; Vice President
Sessoms; Provosts Crosson, Esposito, Bratt, and Taggie; Assistant Vice President Layton; Director of
Student Affairs Nethersole; Associate Vice President Griesemer; Engineering Deans Crugnola and
Goldstein
Faculty Representatives : Professor Knight, UMASS Boston; Dr. Cooke, UMASS Worcester
Guests : Professor William Bemis, UMASS Amherst
Chair McNeil convened the meeting at 3:10 p.m. and introduced new Trustee and Committee
member Myra Kraft, new Trustee William Giblin, and the Academic and Student Affairs staff members
Ms. Layton and Ms. Nethersole. The first item on the agenda was the M.S. and Ph.D. in Organismic and
Evolutionary Biology. UMASS Amherst . Vice President Sessoms reminded the Committee of the efforts -j
of the administration to improve new program approval procedures. Provost Crosson indicated that the n
campus was pleased to bring this program for Stage II approval, noting that this is a strongly
interdepartmental program, requiring no new resources. Dr. Crosson then introduced Dr. William Bemis,
Director of Organismic and Evolutionary Biology, who provided a description of the program, noted the
strong external support from leaders in this field, and thanked the Committee and the Administration,
particularly Dr. Layton, for the review and helpful criticism which enriched the proposal. President
Hooker indicated that he had heard from those external commentators and was very confident of the
quality of the program proposal.
It was moved, seconded and
VOTED: To recommend that the Board approve the Stage II proposal for a M.S. and Ph.D. in
Organismic and Evolutionary Biology academic degree program at UMASS Amherst as
contained in Doc. T93-068, Addendum 1.
The next item on the agenda was the Appointment with Tenure, UMASS Worcester . Provost Bratt
noted the exceptional career and vita of this candidate, which was also recognized by they Committee.
It was moved, seconded and
ij
VOTED : To recommend that the Board concur with the President in the appointment of Edward
Bresnick as Vice Chancellor for Research with tenure in the Department of Pharmacology
at UMASS Worcester. (Doc. T94-111)
The next action item was the Award of Tenure, UMASS Amherst. . Provost Crosson indicated the
strong support for this candidate on the campus and pointed out his stellar reputation.
It was moved, seconded and
VOTED : To recommend that the Board concur with the President in the award of tenure to Martin
Weinberg, Professor of Physics and Astronomy, UMASS Amherst. (Doc. T94-112)
The next item on the agenda was the Award of Tenure, UMASS Lowell . Chair McNeil noted her
concern regarding this case, and turned to Chancellor Hogan. Chancellor Hogan presented the academic
history of this candidate. The Chancellor noted that though the quantity of the candidate's scholarly
work is lower than the typical tenure candidate, the depth, breadth and quality of his work is widely
recognized and respected by leaders in his field. The Chancellor further explained the split votes for this
award are likely due to the current political atmosphere on the campus, particularly in the School of
Management. Chancellor Hogan further reported that the candidate is at a very high level compared
with his colleagues in the department.
Trustee Bok informed the Committee of his personal review of this case at the request of the
Chancellor. He concluded that the strength of this candidate is based on the quality of his work and
reputation in his field, and that the division in the institution is very real and has an impact on this tenure
case. Trustee Bok indicated his strong support for this candidate. The Committee had substantive
discussion on this case. President Hooker said he had turned back a tenure case recently, but he sees this
as a strong, though unconventional tenure candidate. Further, the Administration has been assured that
the candidate will be afforded substantial time for scholarly work, and will not be a candidate for the
position of Dean of the School of Management.
It was moved, seconded and
VOTED : To recommend that the Board concur with the President in the award of tenure to Dr.
William Mass, Policy and Planning Department, UMASS Lowell. (Doc. T94-112)
Chair McNeil noted her affirmative vote for the candidate, and also her concern that all future tenure
cases to reflect both quality and quantity of scholarly work. Trustee Poduska indicated the importance of
the Committee making tenure recommendations without influence of campus-based political issues.
The next item on the agenda for action was the Designation of Gilbert L. Woodside Professor of
Biology, UMASS Amherst . Provost Crosson pointed to the distinguished career of the candidate for this
professorship, not only in scholarship but in service.
It was moved, seconded and
VOTED : To recommend that the Board designate Dr. Christopher Woodcock as the Gilbert L.
Woodside Professor of Biology as contained in Doc. T94-115.
Next on the agenda was the Engineering Task Force. Vice President Sessoms provided an update to
the Committee on the work and progress of the Engineering Task Force. Dr. Sessoms reported significant
progress in the establishment of the engineering program at UMB, through collaboration with the
Amherst and Lowell campuses, and noted that discussion on the identification and reallocation of excess
capacity across the programs continues. The Task Force hopes to report to the Board in the summer,
1995. President Hooker indicated that he sees this Task Force as a significant test for the Administration
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and the Board to respond to necessary changes, and the need to sharpen the focus of programs so that
they complement and are not duplicative.
The Committee had substantive discussion on the issue and future of engineering programs,
including enrollment projections and regional marketability of the programs, particularly at UMASS
Lowell, and heard comments from the deans of engineering from UMASS Amherst and Lowell.
It was moved, seconded and
VOTED : To recommend that the Board take the following action:
There will be no net new state-funded faculty positions in engineering within
the University. An exception may occur where the addition of such a
position is clearly intended to increase faculty diversity and such position is
approved by the Board. The foregoing shall remain in effect as an interim
measure until the Board takes superseding action in light of
recommendations by the Task Force. (Doc. T94-074. Addendum 1)
The next item on the agenda for discussion was FY1993 Peer Study Update . Chair McNeil asked
Assistant Vice President Layton to report on the Peer Study. Dr. Layton thanked Steve O'Riordan for his
work on the study, and went on to present its highlights. Discussion was held on the particular points
and concern about the ambiguity of some of the findings was expressed. Vice President Sessoms noted
that the real value of the Peer Study is less the actual comparisons to peers than its potential to point to
various successful practices among peers for UMASS to use as a guide for its own progress.
The first informational item was the Update on the Status of Academic Program Proposals . Vice
President Sessoms again reminded the Committee of the Administration's efforts to streamline this
process, particularly with the Higher Education Coordinating Council. Discussion regarding the
proposal for Electrical Engineering doctorate at UMASS Dartmouth was held, particularly in light of the
engineering study. President Hooker noted that the campus needed a doctoral program to be brought
into line with the rest of the University upon the 1991 Reorganization; Dr. Sessoms noted that the
program will not be a "stand-alone" program and has the potential for collaboration with UMASS
Amherst and UMASS Lowell.
The next informational item was the Joint Task Force on UMASS and Community Colleg e
Relations . Associate Vice President Griesemer provided an update on the Task Force which met on
November 29.
The next item on the agenda was the Faculty Hiring and Promotion Study . Vice President Sessoms
thanked Trustee Bok for his leadership in this area. Dr. Sessoms informed the Committee that there is
currently planned a study of these practices at UMASS Amherst and comparable institutions reporting in
the spring, 1995 with an eye toward identifying the best practice. Trustee Bok suggested that the
Administration consider the importance of the role that the department needs to play in hiring, and
consideration of the entire pool of candidates since first choice candidates do not always accept. Further
issues are minority hires and support systems for minorities and young applicants, timing of searches on
campus, market trends in particular subject areas, and the use of temporary appointments.
Under Other Business. President Hooker told the Committee that he plans to report to the full Board
on the Report Card. He further reported that, on the issue of the UMASS Amherst men's basketball
grades which were recently reported in the media, that he is working closely with the Chancellor, the
Athletic Director and the Coach to ensure academic support and success for the players and all student-
athletes. He further indicated that though there is progress to be made, the current system is very strong
and the graduation rates of the basketball players and all UMASS athletes is very high.
The meeting adjourned at 5:05 p.m.
Elizabeth H. Tuthill Farrell
Assistant Vice President for Board
Relations
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UNIVERSITY OF MASSACHUSETTS
AMHERST 'BOSTON • DARTMOUTH • LOWELL • WORCESTER
MINUTES OF THE MEETING OF THE COMMITTEE ON
ADMINISTRATION AND FINANCE
Tuesday, January 18, 1994; 3:00 p.m.
Knapp Room
18 Tremont Street
Boston, Massachusetts
Committee and Committee Staff: Chair Spence; Trustees Haynes, Lewenberg, O'Leary, Reed and
Siegmann; Mrs. Fontaine, Secretary to the Board
Committee Members Absent: Trustees Bogan, Flores and Lizana
University Administration: President Hooker; General Counsel Kirby; Vice Presidents Lenhardt and
Sessoms; Ms. Uber, Budget Director; Mr. Wolcott, Director for Auditing and Mr. Smith, Assistant Vice
President, Information Management; Chancellors Penney, Cressy, Hogan and Lazare; Vice Chancellors
Page, MacCormack, Dars, Goodwin and Deputy Chancellor Stanton; Professor May, Faculty
Representative, UMASS Amherst
Chair Spence convened the meeting at 3:05 p.m. The first two items on the agenda were policy items
recommended for approval. Vice President Lenhardt presented the proposal to re-establish the Trustee
Reserve Fund, which existed under the former three-campus UMASS system. The proposal was to re-
establish the fund for the five campus system with an expectation that a minimum of $500,000 would be
put into the fund as part of the annual budget and that grants to campuses could be made up to $300,000
by the President with the concurrence of the Chair of the Board of Trustees. There was discussion of the
level of funds and the purposes. President Hooker noted the unexpected nature of some programs which
cannot be funded in the normal budgetary cycle. It was moved, seconded and
VOTED : To recommend that the Board establish the University-wide Trustee Reserve Fund and to
approve the Policy on Trustee Reserve and purpose as contained in Doc. T94-018. Further,
to rescind all other policies relating to this fund (or any part thereof) currently in effect in
the University which are inconsistent herewith.
Vice President Lenhardt also spoke to the proposal to re-establish the President's Program Fund.
This is another program that existed under the three-campus UMASS system which would be extended
to the five-campus system. The Committee was asked to establish a fund called the President's Program
Fund as a specific fund. The policy specifies that annual additions of at least $150,000 will be made to the
fund. This amount will be adjusted at least once every five years to counteract the impact of inflation. A
maximum of $50,000 per project per year may be distributed by the President without prior Board of
Trustee approval. Projects in excess of $50,000 in a given year must have the approval of the Chair of the
Board of Trustees. President Hooker cited as an example of projects funded, the Pluralism and Diversity
Conference. It was moved, seconded and
VOTED : To recommend that the Board establish the University-wide President's Program Fund and
to approve the Policy on the President's Program Fund and purpose as contained in Doc.
T94-019. Further, to rescind all other policies relating to this fund (or any part thereof)
currently in effect in the University which are inconsistent herewith.
The next item which was for discussion was the FY 1995 State Operating Budg et. President Hooker
and Vice President Lenhardt reported on recent meetings with the Administration about the Governor's
House I budget recommendation and the various issues to be addressed. Vice President Lenhardt also
mentioned a recent budget briefing held for staff members of the House and Senate.
The next item was FY 1995 Tuition and Fee Update. The Committee was provided with a Summary
of Mandatory Fees and Tuition from FY1989 to FY1994. Vice President Lenhardt also outlined the
timetable and the difficult timing issues related to finalizing student fee budgets, which need to be acted
on at the March/ April meeting cycle.
President Hooker then spoke of his resolve to hold tuition increases at or below CPI until the
University has ratcheted the University's student charges back into the middle of our reference group.
The University's charges are at the very top. This is a difficult process, because costs go up annually, and
the University has to raise revenue sources by an amount equivalent to increasing costs, otherwise the
University is defacto cutting the budget. He went on to propose to the Board that tuition and fees be
raised in an amount equivalent to inflation for the previous six months. He also discussed his proposal to
reduce this increase if additional state support is received. If the increase in the University's state
appropriation is greater than inflation, any excess appropriation beyond inflation could be used to ratchet
back the tuition increase.
He also noted the unique situation at Dartmouth and the plan approved last year to equalize tuition
and fees up to the level of Boston campus charges.
During the course of the discussion, there was a request for additional information, specifically the
actual cost to students over the last five years as compared to peer institutions. This information is
available through the peer study and will be highlighted for the March/ April cycle.
There was then a discussion of Comparative Financial Indicators . In addition to the material mailed,
the Committee was also presented with information concerning State and Student Revenues. Vice
President Lenhardt then reviewed the chart of state appropriations and student charges (tuition and fees)
as they relate to overall University revenue. This document demonstrates double digit reductions in the
state appropriation as a percent of the total revenue for each of the campuses. He also indicated that
comparative financial indicators will be an agenda item for future meetings, including federal grants and
contracts as a percent of total revenue, instructional expenditures per student, endowment per student,
and plant operation and maintenance as a percent of current fund expenditures.
There was also discussion of increased demographics in 1996 and 1997, somewhere between 25% and
30%, and the related long term strategic issues.
In response to a question about additional information, the Committee suggested a yearly
comparison of students' economic backgrounds and similar information about tuition and fees for out-of-
state students and the changes in the in-state/out-of-state student mix.
Vice President Lenhardt then updated the Committee on Capital Financing . The HEFA legislation
has yet to pass the Legislature and the University is working to secure passage before the end of January.
He also identified as possible alternate strategies the use of HEFA pools for emergency projects, provided
that the Trustees transfer the property to HEFA temporarily while the renovations are taking place. The
costs associated with this would be substantially higher than if the legislation is passed. Also distributed
at the meeting was a listing and status of Capital Projects, including those with authorization for State
General Obligation funding.
Under Informational Items , Chancellor Cressy spoke about the search process for Vice Chancellor for
Administration and Finance at UMASS Dartmouth and announced the appointment of Lewis Dars to this
position.
-2-
»
Deputy Vice Chancellor Stanton spoke to the Hospital Management Board Finance Committee
minutes which included the unaudited financial statements and management letter which have been
reviewed by the Audit Committee.
The last item on the agenda was an Update on the South Africa Investment Policy . The President
discussed his memo instructing the University to remove restrictions on investments in the nation of
South Africa, effective May 1, 1994. Prior to that date, the situation in South Africa will be closely
monitored and, presuming no reversal of the anticipated commitments of the government, this policy will
be instituted. If the situation in South Africa has not improved, the President will rescind the policy.
The meeting adjourned at 4:13 p.m.
Cynthia A. Fontaine
Secretary to the Board of Trustees
D
»
UNIVERSITY OF MASSACHUSETTS
AMHERST -BOSTON •DARTMOUTH • LOWELL • WORCESTER
MINUTES OF THE MEETING OF THE
COMMITTEE ON ADMINISTRATION AND FINANCE
Tuesday, March 15, 1994; 3:00 p.m.
Board Room
18 Tremont Street
Boston, Massachusetts
Committee and Committee Staff : Chair Spence; Chair Taylor; Trustees Bogan, Flores, Haynes, Lizana,
Reed and Siegmann; Mrs. Fontaine, Secretary to the Board
Committee Members Absent: Trustees Lewenberg and O'Leary
University Administration : President Hooker (via telephone); Vice Presidents Lenhardt, Boyd and
Sessoms; General Counsel Kirby; Chancellors Scott, Penney, and Hogan; Vice Chancellors Page,
MacCormack, Dars and Goodwin; Deputy Chancellor Stanton; Professors May, Watanabe, Ahearn and
Sheff; Dr. Cooke, Faculty Representatives
Chair Spence called the meeting to order at 3:05 p.m. The first item the Committee discussed was
1994-1995 Tuition and Fees . Chair Spence commented that there has been alot of discussion around this
issue and she said that the Trustees are as concerned as the students about the rate of tuition increases
over the many years and the fact that tuitions at UMASS are high. She pointed out that the Board has
concluded that using tuition is not a way to subsidize expenses and has done everything to work with the
campuses to reduce expenses without levying on the students. This year the proposal is a zero increase in
tuition in accordance with HECC and a fee increase equivalent to their 2% of the aggregate tuition and
mandatory fees in FY94. She also pointed out that even with this very limited increase there will be an
effect on the campuses and each of the Chancellors will have budget gaps to deal with.
She also said there is a real hope that this time next year we can have a joint effort with the students,
Trustees and Chancellors to work with the legislature to help support UMASS.
Vice President Lenhardt then gave an overview of the FY 1995 Maintenance Budget Requirements,
starting with the 1994 base of $322,169,211 and adding additional needs of $21,830,000 to sustain the level
of FY 1994 Operations for a FY 1995 Total Need of $343,999,211. This amount of funding is required for
FY 1995 to support the basic activities of the University and allow for a roll-back of the proposed FY 1995
student charge increases. He also identified trends in state support and student charges from 1990
through 1995.
Chancellors Scott, Penney and Hogan and Vice Chancellor Stanton then identified the problems they
would still be facing, even with this recommendation, with Chancellor Penney expressing a concern
about access.
Trustee Siegmann then spoke to the Committee urging it to vote against the increase, then asked that
the vote taken be a roll call vote. She also shared the results of a UMASS Boston survey about financial
aid. Several students from UMASS Boston and UMASS Amherst spoke against the proposed increase.
There was a lengthy discussion about the strategy and the proposed vote before the Committee. The
proposed motion was favored by a number of Committee members because it allowed students and
parents to plan for an increase.
It was moved, seconded and
VOTED : To recommend that the Board take the following action:
WHEREAS, the pattern of reductions in the state appropriation to the University of
Massachusetts over the past six years has resulted in increases in student charges to continue the
academic enterprise;
WHEREAS, these increases in student charges have resulted in placing some University of
Massachusetts campuses among the most expensive public institutions in the United States;
WHEREAS, the Board believes it must balance the need to provide a diverse quality education
with the need to provide access to higher education for Massachusetts citizens;
NOW THEREFORE in accordance with Section 9 (i) of Chapter 15A of the General Laws the
Board of Trustees hereby recommends to the Higher Education Coordinating Council that there
shall be no increase in tuition on any University campus for Academic year 1994-95 and therefore
tuition will remain as follows:
Tuition:
Annual
From
To
Dollar
%
M ft1M/?f cf
FY1994
FY1995
Change
Change
fXfiliVCTol
Undergraduate (resident)
$2,220.00
$2,220.00
$0.00
0.0%
Undergraduate (non-resident)
$8,566.00
$8,566.00
$0.00
0.0%
Graduate (resident)
$2,778.00
$2,778.00
$0.00
0.0%
Graduate (non-resident)
$8,566.00
$8,566.00
$0.00
0.0%
Boston
Undergraduate (resident)
$2,220.00
$2,220.00
$0.00
0.0%
Undergraduate (non-resident)
$8,568.00
$8,568.00
$0.00
0.0%
Graduate (resident)
$2,778.00
$2,778.00
$0.00
0.0%
Graduate (non-resident)
$8,568.00
$8,568.00
$0.00
0.0%
Dartmouth
Undergraduate (resident)
$1,836.00
$1,836.00
$0.00
0.0%
Undergraduate (non-resident)
$6,919.00
$6,919.00
$0.00
0.0%
Graduate (resident)
$2,206.00
$2,206.00
$0.00
0.0%
Graduate (non-resident)
$6,919.00
$6,919.00
$0.00
0.0%
Lowell
Undergraduate (resident)
$1,884.00
$1,884.00
$0.00
0.0%
Undergraduate (non-resident)
$7,028.00
$7,028.00
$0.00
0.0%
Graduate (resident)
$2,260.00
$2,260.00
$0.00
0.0%
Graduate (non-resident)
$7,028.00
$7,028.00
$0.00
0.0%
Worcester
Medical School
$8,792.00
$8,792.00
$0.00
0.0%
Graduate (resident)
$2,738.00
$2,738.00
$0.00
0.0%
Graduate (non-resident)
$8,566.00
$8,566.00
$0.00
0.0%
Provided further that in accordance with Section 1A of Chapter 75 of the General Laws, to
establish the following fees for Academic Year 1994-95:
Curriculum Fees:
Annual
From
To
Dollar
%
FY1994
FY1995
Change
Change
Amherst
Undergraduate (resident)
$2,055.00
$2,138.00
$83.00
4.0%
Undergraduate (non-resident)
$2,055.00
$2,138.00
$83.00
4.0%
Graduate (resident)
$1,734.00
$1,804.00
$70.00
4.0%
Graduate (non-resident)
$1,734.00
$1,804.00
$70.00
4.0%
Boston
Undergraduate
$1,730.00
$1,814.00
$84.00
4.9%
Graduate
$1,730.00
$1,814.00
$84.00
4.9%
Lowell
Undergraduate (resident)
$2,646.00
$2,736.00
$90.00
3.4%
Undergraduate (non-resident)
$2,646.00
$2,840.00
$194.00
7.3%
Graduate (resident)
$2,646.00
$2,745.00
$99.00
3.7%
Graduate (non-resident)
$2,646.00
$2340.00
$194.00
7.3%
Worcester
Medical School
$1,000.00
$1,000.00
$0.00
0.0%
Graduate
$312.00
$312.00
$0.00
0.0%
Mandatory Fees:
Annual
From
To
Dollar
%
FY1994
FY1995
Change
Change
Amherst
Undergraduate
$1,192.00
$1,216.00
$24.00
2.0%
Graduate
$998.00
$1,018.00
$20.00
2.0%
Boston
Undergraduate
$298.00
$298.00
$0.00
0.0%
Graduate
$298.00
$298.00
$0.00
0.0%
Lowell
Undergraduate
$72.00
$74.00
$2.00
2.8%
Graduate
$72.00
$74.00
$2.00
2.8%
Worcester
Medical School, First and Second Year
$430.00
$470.00
$40.00
9.3%
Medical School Third and Fourth Year
$405.00
$435.00
$30.00
7.4%
Graduate (non-resident)
$405.00
$435.00
$30.00
7.4%
-3-
Residence Hall and Board Fees:
Annual
From
To
Dollar
%
FY1994
FY1995
Change
Change
Amherst
Average Room
$2,185.00
$2,266.00
$81.00
3.7%
Average Board
$1712.00
$1,762.00
$50.00
2.9%
Telecommunications
$0.00
$0.00
$0.00
0.0%
Boston
N/A
N/A
Lowell
Average Room
$2390.00
$2390.00
$0.00
0.0%
Average Board
$1,78050
$1,836.75
$56.25
3.2%
Residential Telecommunications
$80.00
$100.00
$20.00
25.0%
Worcester
N/A
N/A
Provided, however, that the President is authorized and directed to rescind all fee increases listed
above if the legislative appropriation provided to the University in the Fiscal Year 1995 budget
exceeds $343,999,211.
AND FURTHER,
WHEREAS, the Dartmouth campus joined the University of Massachusetts system in 1991 with
tuition and fees substantially lower than these charged by the other campuses of the University
and by other universities generally;
WHEREAS, the Dartmouth campus requires additional funding from student charges to assist in
continuing to bring its programs to the level of a major University campus;
WHEREAS, the President and Chancellor of the Dartmouth campus have recommended a multi-
year plan to meet these goals;
NOW THEREFORE, in accordance with Section 1 A of Chapter 75 of the General Laws the Board
establishes the following fees for the Dartmouth campus for Academic Year 1994-95:
Curriculum Fees:
Annual
From
To
Dollar
%
FY1994
FY1995
Change
Change
Undergraduate (resident)
$1,469.00
$1,711.00
$242.00
16.5%
Undergraduate (non-resident)
$1,843.00
$2,405.00
$562.00
30.5%
Graduate (resident)
$1,529.00
$1,820.00
$291.00
19.0%
Graduate (non-resident)
$1,843.00
$2,405.00
$562.00
30.5%
-4-
Mandatory Fees:
Undergraduate $263.00 $288.00 $25.00 9.5%
Graduate $263.00 $288.00 $25.00 9.5%
Residence Hall and Board Fees:
Average Room $2,588.00 $2,588.00 $0.00 0.0%
Average Board $2,002.00 $2,026.00 $24.00 1.2%
Trustees Bogan, Haynes, Reed, Taylor and Chair Spence voted for the motion. Trustees Siegmann
and Flores are recorded as opposed. Trustee Lizana also noted his opposition to the motion.
Trustee Reed then gave the report of the Subcommittee on Personnel which met twice to consider the
Personnel Policy for N on-Unit Professional Staff. It was moved, seconded and
VOTED : To recommend that the Board approve the Personnel Policy for Non-Unit Professional
Staff as contained in Doc. T94-023. Further, to rescind Doc. T73-090A, and all other
policies (or any part thereof) currently in effect in the University which are inconsistent
herewith.
The next item on the agenda was the Policy on the Development and Administration of Grants and
Cooperative Agreements for Sponsored Programs . This policy replaces a previous UMASS policy for
the former three campus UMASS system and was developed with University-wide participation. It was
moved, seconded and
VOTED : To recommend that the Board approve the Policy on the Development and
Administration of Grants and Cooperative Agreements for Sponsored Programs as
contained in Doc. T94-034. Further, to rescind Doc. T81-051B, and all other policies (or
any part thereof) currently in effect in the University which are inconsistent herewith.
Vice President Lenhardt then reviewed the Comparative Financial Indicators : State and Student
Revenues as a percent of total revenues; Grants and Contracts as a percent of Total Revenues; and
Endowment Income as a percent of total revenues. Trustee Haynes suggested endowment income is an
area that needs a great deal of work and is one area the University can improve.
The next item was Interim Financial Report . Chair Spence commended the University Controller
Janet Wanczyk. It was also suggested that this report be sent to the other members of the Board for their
information and consideration.
Deputy Vice Chancellor Stanton briefly reviewed the Minutes of the Hospital Management Board
Finance Committee noting the policy for reviewing contracts exceeding $100,000 adopted by the Board.
Trustee Haynes then gave the report of the Investment Subcommittee which met February 1 and a
proposed quasi-endowment policy. It was determined that by budgeting annual contributions from its
operating funds, the University can increase its endowment. This proposed policy is currently being
reviewed by campus representatives and will be brought back to the Committee.
Chair Spence then called for a motion to go into Executive Session to discuss Collective Bargaining
and noted that the Committee would reconvene in open session. The time was 4:30 p.m. and on roll call it
was moved, seconded and
-5-
VOTED : To enter Executive Session.
At 4:45 p.m. the Committee came out of Executive Session and it was moved, seconded and
VOTED : To recommend that the Board approve the agreement between the University of
Massachusetts Amherst and the Graduate Employees Organization (GEO) as described in
Doc. T94-035.
There being no further business to come before the Committee, the meeting adjourned at 4:46.
f.
Cynthia A. Fontaine
Secretary to the Board of Trustees
-6-
UNIVERSITY OF MASSACHUSETTS
AMHERST -BOSTON • DARTMOUTH • LOWELL • WORCESTER
MINUTES OF THE MEETING OF THE
SPECIAL JOINT COMMITTEE ON ADMINISTRATION AND FINANCE
AND MEDICAL CENTER TASK FORCE
Friday, May 20, 1994; 3:00 p.m.
Wood Room
18 Tremont Street
Boston, Massachusetts
Committee and Committee Staff : Chair Spence; Chair Taylor; Trustees Haynes, Lewenberg and Reed;
Vice President and Secretary to the Board Boyd; Assistant Vice President Tuthill
Committee Members Absent: Trustees Bogan, Flores, Lizana, O'Leary and Siegmann
Medical Center Task Force : Trustee Foley
Medical Center Task Force Absent : Trustees Dickson and Karam
University Administration : President Hooker; Vice Presidents Lenhardt and Sessoms; Chancellor
Lazare; Deputy Chancellor Stanton; Dr. Cooke, Faculty Representative, UMMC
Guests : Dr. Frieswick and Mr. Hollings, Medical Center Hospital
Chair Spence called the meeting to order at 3:05 p.m. and began by setting the context for calling the
special joint meeting being that there is not enough time at regular Administration and Finance
Committee meetings to focus on the special issues surrounding the Medical School and Center.
The first item discussed was the potential Merg er of the Medical Center with MCCM which, at this
time looks unlikely. There was general agreement that the strategy the Trustees must follow should come
out of the strengths of the Medical Center and the need to continue to improve and increase service
within the current financial situation. Some of the elements which may make up a strategy for the
Medical Center in the event that there is no merger were identified and discussed.
The discussion then turned to Current Financial Issues, with the questions posed as to what the cash
position is, where is it going and where will reductions in cash flow be seen. Mr. Hollings discussed
some of the specific aspects of the materials which were prepared for the meeting and identified the
impact of paying full fringe benefit costs as a significant change in the hospital's position beginning in
1991. A recent major impact on the Medical Center has been the change in definition of in-patient care by
the major insurer's Medicare, Medicaid and Blue Cross. In response, the Medical Center is establishing a
patient observation area. Mr. Hollings identified a sustained cash level at the Hospital of approximately
$37 million.
Dr. Frieswick then distributed information on Cost Reductions for the Committee's review and
discussion. Significant issues include: costs per unit, per capitation and bench-marking to find
appropriate cost reductions. They are currently consolidating patient care units and will be eliminating a
total of 122 positions as of June 17, 1994, with a total of 60 actual lay-offs with the remaining employees
being re-employed in other areas. The hope is that with natural attrition, more positions will be available
for those 60 employees to move into.
Further discussion of the reductions led to the issue of the New Programs which have been identified
for FY95. It was decided that there needs to be further discussion on this issue with specific justification
made before there is commitment to these new expenses. In response to the question of his greatest
anticipated problem, Mr. Hollings identified in-patient volume. The next meeting's agenda, therefore
would contain the two issues of patient utilization increase and new programs. Trustee Haynes further
asked the Medical Center staff to provide information about the impact of changes in in-patient volume
on out-patient care; the shift of managed-care and the impact on the Medical Center; and more
information on fringe-benefit costs at peer institutions.
There being no further business to come before the Committee, the meeting adjourned at 5:00 p.m.
C2.
Elizabeth H. Tu thill
Assistant Vice President, Board Relations
-2-
UNIVERSITY OF MASSACHUSETTS
AMHERST • B OSTON • DARTMOUTH • LOWELL • WORCESTER
MINUTES OF THE MEETING OF THE
COMMITTEE ON ADMINISTRATION AND FINANCE
Tuesday, May 24, 1994; 3:00 p.m.
Board Room
18 Tremont Street
Boston, Massachusetts
Committee and Committee Staff : Chair Spence; Trustees Lewenberg and Lizana; Ms. Tuthill, Assistant
Vice President for Board Relations
Committee Members Absent: Trustees Bogan, Flores, Haynes, O'Leary, Reed and Siegmann
University Administration : President Hooker Vice Presidents Lenhardt and Sessoms; General Counsel
Kirby; Chancellors Hogan, Lazare, Penney, and Hogan; Vice Chancellors Page, MacCormack, Dars and
Goodwin; Deputy Chancellor Stanton; Ms. Uber, University Budget Director; Professor May, Faculty
Representative
Guests : Mr. Yon and Mr. Eggert, Shooshanian Engineering Associates
Chair Spence called the meeting to order at 3:10 p.m. The first item on the agenda was the policy item
recommended for approval. Vice President Lenhardt presented the proposal to establish a Ouasi-
Endowment Fund . Vice President Lenhardt recognized the commitment of Trustee Haynes and the
Investment Subcommittee in bringing this policy forward. The Subcommittee proposes a three part
strategy. The first is the creation of a Quasi-Endowment through the segregation of up to 25% of the
operating cash of the University each June 30 and the related transfer of funds from current funds
unrestricted to endowment. The net effect will be a larger endowment on the University's balance sheet.
The second is an enhancement to the cash management policy. This change will allow up to 25% of the
operating cash portfolio be invested in the longer term equity strategy. Over a period of time the total
return on the equity segment should be nearly double what can be earned in short term fixed income
instruments. It is anticipated that the income return to the campuses will be enhanced. The final change
dedicates one percent (1%) of the book value of the quasi endowment to the President for development
purposes. It was moved, seconded and
VOTED : To recommend that the Board amend the Cash Management Policy (Doc. T92-031,
Appendix F) by inserting at the end of Part I the following:
Quasi-Endowment : That the Treasurer's Office may segregate up to 25% of the book
value of operating cash of the University's portfolio for the purposes of creating a Quasi-
Endowment. The Quasi-Endowment shall be invested as part of the cash management
strategy of the University. Earnings from the Quasi-Endowment will be commingled
with other income generated by the University Treasurer's Office through the Cash
Management process.
Equities : The Treasurer's Office is permitted to invest up to 25% of the book value of the
Operating cash portfolio measured on each June 30 in the equity markets. This segment
of the portfolio will be subject to the volatility inherent in the equity market. Earnings
distribution from the equity component of the portfolio will be calculated such that
earnings are no less than the yield on the fixed income component and no more than the
combined weighted average yield of the portfolio in a given year.
And further,
To amend the Policy for Management of University Funds (Do. T92-031) by inserting after
the first sentence in Section 12 the following:
"Annually on June 30, one percent (1%) of the book value of the quasi-endowment will be
set aside from the Trust Fund Interest earnings for use by the President of the University
for development efforts. All remaining investment..."
Chair Spence then introduced the action items with Authorization for Expenditures of Funds . Vice
President Lenhardt reminded the Committee that this vote is taken annually before the final approval of
the Operating Budget (October) and is essentially held up by the State appropriation process. This
authorizes the President to spend at the current rate of expenditures until the Operating Budget is
approved. It was moved, seconded and
VOTED : To recommend that the Board authorize the President to expend at the FY1994 rate, state
and non-state funds for the University from July 1, 1994 until such time as the Board
adopts the Operating Budget for FY1995.
The next action item was the Revisions to Motor Vehicles and Parking Regulations, UMASS
Amherst . Vice President Lenhardt spoke to the issue saying that it is a legal obligation of the Trustees to
approve these regulations. It is a fairly routine matter which the campus spent a good deal of time
working through. Vice Chancellor Page noted that the changes reflect the need for improvements in
parking for visitors and easier access. It was moved, seconded and
VOTED : To recommend that the Board approve the revisions to the Motor Vehicle and Parking
Regulations at the Amherst campus as contained in Doc. T82-023C.
The next item on the action agenda was the Revision to FY1995 Continuing Education Charg es,
UMASS Dartmouth . Vice President Lenhardt noted that this item would normally have come in the
previous cycle but due to the revisions being made, the campus needed more time. Vice Chancellor Dars
spoke to the changes and said that part of the funding would be devoted to developing new programs in
areas away from the campus. It was moved, seconded and
VOTED : To recommend that the Board approved the revised FY1995 Budget and rate schedule for
the Division of Continuing Education at the Dartmouth campus as contained in Doc. T94-
033, Addendum I.
Chair Spence then moved the remaining action item, FY1995 Revenue Based Budg ets. She asked
Vice President Lenhardt to speak to the issue and requested that the minutes reflect the reporting on this
issue in detail so as to provide adequate information to the absent Committee members. Ms. Uber,
University Budget Director, presented background information to the Committee on the Revenue Based
Budgets.
Ms. Uber began by reminding the Committee that Revenue-Based Budgets are a regular item
presented to this Committee and the full Board every year during the May/June cycle. Budgets
presented are the second phase of the FY1995 budget process. The first phase was student fee budgets.
Other major steps include the allocation of the state appropriation, and the development of the
comprehensive University operating budget. This document, presented each fall, encompasses all
sources of current revenues: state appropriations, student fees, designated revenue-based trust funds, and
restricted funds.
-2-
Revenue-based operations are so-called designated funds. These operations generate revenues from
the sale of a product or service and the revenues must be used for the purpose for which the fund was
established. In addition to designated student fees approved last cycle, designated funds include
auxiliary operations such as parking garages, bookstores, and student unions. Other types of revenue-
generating operations include radio stations, the college press, and activities peripheral to the educational
mission, such as testing and counseling services. Restricted revenues, such as grants and contracts, are
not included. Designated funds represent a significant portion of the University's $1 billion budget. Total
operations, excluding the Group Practice and Hospital make up 14% of the overall budget; with the
Group Practice and Hospital the number is 44%.
The FY1995 revenue-based operations in your packet included $103 million in budgeted
expenditures, excluding the Hospital and Group Practice, and $481 million with the Hospital and Group.
FY1995 revenues are budgeted at $103 million without the Hospital and Group Practice, and $482 million
with the Hospital and Group. Overall revenues are projected to increase by 6.0%; expenditures to
increase by 7.1%.
Ms. Uber further reported that no funds are in a deficit situation, although a number of the funds are
making use of fund balances to balance their FY1995 budgets. This reserve or cushion is seen as a sound
management practice. University policy does limit un-designated fund balances to 25% of previous
year's expenditures. Some funds making use of cash reserves in FY1995 budget for a number of reasons,
including: planned one-time expenditures of reserves built up over time, e.g., equipment purchases;
cushion to allow necessary adjustments in revenues or expenditures to be made over a period of time;
cushion against having to raise charges in a given year. Also, operating deficits may appear larger in the
budgets than they end up being, due to conservative budgeting.
The presentation of revenue budgets at this Committee is the end point in an intensive budget
development process at each campus. In addition to campus budget parameters, general guidelines for
development of revenue budgets are developed and distributed by the President's Office.
An updated Table 1 for the Worcester campus was distributed, which includes FY1995 information
for the Group Practice and Hospital. The Hospital budget receives extensive review at the Worcester
campus by the Finance Committee and full Hospital Management Board, and will be acted upon by the
Finance Committee at the end of the month. Ms. Uber reminded the Committee that there are special
meetings of the Administration and Finance Committee and Medical Center Task Force and it has been
recommended that the Hospital and Group Practice budgets not be acted upon at this time. Another
special Committee meeting is currently being scheduled to address outstanding issues.
More detailed information is available in the President's Office if desired.
Chair Spence then reported to the Committee on the need to conduct special meetings devoted to the
Medical Center, the first one being held on May 20. The rapid change in the environment at the Hospital
and the potential for financial decisions lead to the need for the Trustees to focus and have a better
understanding of the issues. Chair Spence recommended that the Committee wait to recommend the
Hospital's revenue based budget until there is better understanding on the Trustees' part.
Vice President Lenhardt spoke again to the issue of the campus Trust Fund operations in order to
clarify the use of Trust Fund revenues. There is a process by which Trust Funds buy services from other
Trust Funds but there is no transfer of funds among them. The only exception being the Dean's fund as
part of the Group Practice, regardless of surplus in some trust funds.
It was moved, seconded and
VOTED : To recommend that the Board approve the budgets and fee structures for the FY1995
Revenue-Based Trust Fund Budgets at Amherst, Boston, Dartmouth, Lowell and
Worcester, as described in Doc. T94-045, provided that the Medical Center Group
Practice Plan and the Medical Center Hospital budgets shall be considered at a later date.
And further,
To approve associated changes in the Statements of Trust for the Amherst campus as
appear in said document.
The next item which was for discussion was the FY1995 State Budget Update . President Hooker
reported to the Committee that the University fared well out of the House Ways and Means budget with
$10.7 million. The Administration and some Trustees have been involved with the meetings held with
Senate Ways and Means members as well as UMASS friends in the Senate. All of the meetings have gone
very well and the outlook is very good. The State House Day and other joint efforts have been very
positively received, particularly due to the efforts of the students as reflected by the remarks by Senate
President Bulger on State House Day. President Hooker thanked the students for their dedication to the
budget effort and the cooperation with the President's Office. Chair Spence reiterated the importance of
the cooperative effort that should continue next year and Trustee Lewenberg noted the tremendous
difference that has been felt in this year's budget effort and the extensive effort in all areas and projects for
UMASS that has resulted in a very positive reception across the State.
The next discussion item was the Capital Financing Update . Vice President Lenhardt pointed out
the letter in the materials from the DCPO Commissioner regarding the capital program which is very
positive. The Capital Program has still not been moved by Ways and Means, but there is a refocussing on
the program by that Committee which will hopefully be out by the end of June.
Vice President Lenhardt then introduced the representatives from Shooshanian Engineering, Mr.
Eggert and Mr. Yon. Mr. Eggert reported that they had worked with each of the five campuses and found
them to have a good understanding of their needs; the evaluations and prioritization done by each is very
thorough, and given funds available, they will apply them to the most urgent needs. The most severe
situation they studied was the parking deck at UMASS Boston, for which the campus has received
emergency monies from DCPO to cover the problem, but not nearly enough to make all the repairs. It is
evident that the lack of funds has resulted in some of these conditions, and hopefully the program will
come into place and future problems can be attended to. The most critical items are in the report and are
at the top of the list for repair. President Hooker reported that the staff of House Ways and Means have a
copy of the report which is helping inform them of the need for the Capital Program.
The next item under the Capital Financing update was the Lowell Arena. Vice President Lenhardt
told the Committee that this is a new project, this is not a request for a vote for final authorization for the
Arena, and it has come before the Athletic Committee several times. The reason it is before this
Committee is to make the members aware the potential future action. Chancellor Hogan then reported to
the Committee that the Governor had committed 1/3 of the costs of the project (not to exceed $15 million)
while the city and the University would be responsible for 1/3 of the costs each. There has been concern
about whether the city is able to come up with the funding. The local businesses have given their support
to the joint project with the city, and the Lowell Sun has given favorable editorials to the project The city
will be meeting again to continue the debate on whether they can afford their part of the costs. President
Hooker pointed out that though this is the first time this has come to the Committee, Trustee Lewenberg's
Committee on Athletics has thoroughly discussed this item and the Administration has been aware of
these issues for some time.
Vice President Lenhardt then spoke to the issue of the HEFA Pool Funding where Worcester,
Amherst and Dartmouth may wish to get authorization to borrow temporary variable rate money from
the pool to reimburse capital expenditure or for projects which are linked to the borrowing of private
money. This may come to the Committee and Board at the next cycle (July/August).
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Trustee Lewenberg noted that the Lowell campus has done an excellent job of carefully balancing the
interests of the state, the city and the campus/university community in looking at the potential for the
new arena, particularly the intricacies of the financial needs.
Chair Spence then turned to Vice President and General Counsel Kirby to report on the Personnel
and Diversity Subcommittee in the absence of Trustee Reed. There were three items discussed at the
May 4th meeting. The first was Affirmative Action plans which, the Subcommittee agreed should be
made available to the Board every three years with annual updates provided. Each campus would have
their plan reviewed at upcoming Committee meetings. The Affirmative Action plans will be brought to
the Board through the Executive Committee. The second item was the Workforce Redesign Policy which
was brought forward from the Medical Center. Deputy Chancellor Stanton had reported at the meeting
that any reductions in force would be handled under existing policy and the issue was tabled until further
notice. The last item on that agenda was the report by Chancellor Hogan on the Diversity Task Force
which will have another draft report in June. The final report will be available in October. The next
meeting of the Subcommittee is June 7 where they will discuss outside funding for diversity initiatives.
Ms. Kirby further reported that Trustee Reed and the Committee did not find egregious problems with
the Affirmative Action plans, but that they would like to have the time devoted in future meetings to look
more closely at the details of these large reports.
The next item for discussion was the Interim Financial Report . Chair Spence turned to Vice
President Lenhardt to comment on the report. Vice President Lenhardt reminded the Committee that
these reports were only recently developed and have been very helpful in clarifying the University's
position, particularly going into the annual audits. Vice President Lenhardt recognized the efforts of Ms.
Wanczyk, the University Controller, and the entire fiscal control staff.
The next discussion item was the Hospital Management Board Finance Committee Minutes .
Deputy Chancellor Stanton noted that there was no information necessary for discussion after the special
meeting held on May 20.
Chair Spence then called for a motion to go into Executive Session to discuss Collective Bargaining
and noted that the Committee would not reconvene in open session. The time was 3:55 p.m. and on roll
call it was moved, seconded and
VOTED : To enter Executive Session.
Chair Spence voted for the motion, as did Trustee Lewenberg.
The meeting adjourned at 4:10 p.m.
^pM)MxXkX
Elizabeth H. Tuthill
Assistant Vice President, Board Relations
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UNIVERSITY OF MASSACHUSETTS
AMHERST -BOSTON • DARTMOUTH • LOWELL • WORCESTER
MINUTES OF THE SPECIAL MEETING OF THE
COMMITTEE ON ADMINISTRATION AND FINANCE AND
MEDICAL CENTER TASK FORCE
Tuesday, June 7 1994; 8:00 a.m.
Board Room
18 Tremont Street
Boston, Massachusetts
Committee/Task Force and Committee Staff : Trustees Haynes and Karam; Ms. Tu thill, Assistant Vice
President for Board Relations
Committee/Task Force Members Absent: Trustees Bogan, Dickson, Foley, Flores, O'Leary, Reed and
Siegmann, Spence
University Administration : President Hooker; Vice Presidents Lenhardt and Sessoms; General Counsel
Kirby; Chancellor Lazare; Deputy Chancellor Stanton
Guests : Mr. McClelland, Hospital Management Board; Dr. Frieswick and Mr. Hollings, University
Hospital
In the absence of Trustee Haynes who was chairing the meeting in the absence of Trustee Spence,
President Hooker called the meeting to order at 8:10 a.m. President Hooker identified three specific areas
of concern for Trustees for which reason this meeting was called: unanswered and additional questions
regarding the Hospital's current cash position; the Hospital's cost-cutting strategy; the approval of the
Hospital and Group Practice Budgets for FY95.
Mr. Hollings from the Hospital then distributed quarterly financial statements and presented further
information regarding admissions numbers (accounting for 75-80% of the income), observation beds, total
revenue, the average daily census, the issue of surplus and the cash position.
Chair Haynes joined the meeting at 8:20 a.m. Mr. Hollings continued his presentation and projected
that the Hospital should finish the year somewhere in the area of $1 million surplus. The largest costs
were for observation beds and fringe benefits. The cash position is also affected by the delay in the
University's capital program.
Mr. McClelland from the Hospital Management Board then addressed the question of the urgency of
action with regard to the Hospital's financing this spring. Mr. McClelland reiterated the extreme revenue
losses resulting from the observation beds, new payer classifications, the decline in admissions,
particularly surgeries which created a situation where the hospital was faced with an extreme reduction
in margin for both February and March. Since that time, they have formulated a cost reduction plan, and
are working on a revised budget.
The next item to be discussed was the issue of new programs. The total budget for new programs is a
net $5 million, most of which is already in current programs. They are looking carefully at the success of
young programs as those monies are used as an investment pot for new programs. The plan is to
continue to identify where to reduce costs while preserving the educational research core.
Chair Haynes then requested that the Task Force look at the Cost Reduction Strategy. Dr. Frieswick
reported that the Hospital had collected data for bench-marking based on national comparisons
(including Boston teaching hospitals) with academic hospitals and she reported on the various areas that
are undergoing changes and consolidations.
After further discussion, it was then decided that the revised Hospital budget would come back to the
Board for approval when it is fully prepared, in August or October. These budgets should be complete
with Executive Summaries that concisely present the issues of concern as discussed.
The meeting adjourned at 10:00 a.m.
Elizabeth H. Tu thill
Assistant Vice President, Board Relations
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UNIVERSITY OF MASSACHUSETTS
AMHERST 'BOSTON • DARTMOUTH • LOWELL • WORCESTER
MINUTES OF THE MEETING OF THE
COMMITTEE ON ADMINISTRATION AND FINANCE
Tuesday, July 26 1994; 3:00 p.m.
Board Room
18 Tremont Street
Boston, Massachusetts
Committee and Committee Staff : Chair Spence; Trustees Andriolo, Flores, Haynes, Lizana, O'Leary,
Reed, Taylor; Vice President and Secretary Boyd; Ms. Tuthill, Assistant Vice President for Board Relations
Committee Members Absent: Trustees Bogan and Purdy
Other Trustees : Trustees Finnerty and Hoff
University Administration : Vice President Lenhardt; General Counsel Kirby; Chancellors Hogan, Cressy
and Lazare; Vice Chancellors Page, MacCormack, Dars and Goodwin; Deputy Chancellors Stanton and
Williams; Ms. Uber, University Budget Director; Associate Provost Harmon-Hines
Faculty Representatives : Professor May, UMASS Amherst, Dr. Cooke, UMASS Worcester
Chair Spence called the meeting to order at 3:05 p.m. The first item on the agenda was the Workforce
Redesign Policy, UMASS Worcester . Trustee Reed reported that the Personnel and Diversity
Subcommittee met earlier in the day and is recommending this policy to the Committee and to the full
Board. ThffSubcommittee meeting had several items on the agenda, including the review of Affirmative
Action plans at UMASS Amherst as well as the review of Diversity Initiatives. Trustee Reed reminded
the Committee that this policy for the Worcester campus had previously come before the Board, and has
been brought back due to the many changes that the institution is undergoing. Chancellor Lazare
reiterated the importance and timelines of the policy.
It was moved, seconded and
VOTED : To recommend that the Board approve the Workforce Redesign Policy at UMASS
Worcester as contained in Doc. T93-079, Appendix 1, as amended.
Chair Spence thanked Chancellor Lazare and Deputy Chancellor Stanton for all of their efforts in
finalizing this policy.
The next item on the agenda was the FY1995 Student Fees . Chair Spence reminded the Committee
that the Board vote in April on the student fees contained a provision wherein the Board could vote to roll
the fees back to recommended levels in the event that the University received a strong budget from the
State. Chair Spence further recognized the efforts of the Trustees, the administration, students, faculty
and parents who were instrumental in securing the support of the legislature in this year's budget.
It was moved, seconded and
VOTED : To recommend that the Board approve the revised Curriculum Support Fee rates for
FY1995 at the University of Massachusetts Amherst, Boston, and Lowell:
Current FY95 Fee Revised FY95 Fee
Amherst $2,138 $2,031
Boston $1,814 $1,780
Lowell $2,736 $2,646
(Doc. T94-033, Addendum 1)
The next item on the agenda was the FY1995 State Appropriation Allocations . Vice President
Lenhardt reminded the Committee that each year this exercise is undertaken after the budget is signed.
This year the budget was signed approximately two weeks ago by the Governor with full support for the
University. The only constraint this year is the cap on the amount to be allocated to the Medical Center.
The Five Campus Budget and Planning Task Force went through the initial process of determining the
allocations. The Chancellors and the President met and confirmed the allocations. There is a strong
consensus on these recommendations to the Committee. The main objectives were: to cover the base of
state funds available from FY94; to ensure that each campus could meet the earmarkings in the state
appropriation; to meet the basic needs of the maintenance budget (approximately 70% of the need); and
respond to the more rapid increase in student charges at the Dartmouth campus.
It was moved, seconded and
VOTED : To recommend that the Board approve the following FY95 state appropriation
-* allocations:
Amherst $163,973,085
Boston 60,446,943
Dartmouth 33,517,605
Lowell 52,434,468
Worcester 24,021,795
Institute for Governmental Services 517,189
TOTAL $334,911,085
Further, to authorize the President to make adjustments to the campus allocations for
support of the President's Office and Central Administrative Services to be reflected in
the final allocation schedule submitted to the state. (Doc. T94-078)
Chairman Taylor commented that when he and President Hooker met with Governor Weld before he
signed the budget, the Governor was extremely pleased to support this budget for the University.
The next item on the agenda under the topic of the University Capital Financing was the Learning
Center, UMASS Worcester . Chancellor Lazare gave some background on the need for the Learning
Center and the identification of space in the existing unused courtyards that could be utilized. The total
cost is $2.3 million, and they have raised $1.8 million, including $250,000 from Mr. Jacob Hiatt. The
additional cost for the computers will also need to be raised. Associate Provost Harmon-Hines offered a
detailed description of the design of the Learning Center and described the improvement that this new
space will offer not only to the medical students, but all of those involved in graduate programs, outreach
programs and continuing education.
-2-
Discussion regarding the importance of the Trustees understanding of the future and ongoing/long-
term costs of new buildings, such as the Learning Center, is a vital part of the approval process. This is
particularly important for an institution like the Hospital which is subject to changing regulations. Vice
President Lenhardt reminded the Committee that the Board had passed a policy with guidelines for new
construction which addresses this concern.
It was moved, seconded and
VOTED : To recommend that the Board approve the construction of the Learning Center at the
University of Massachusetts Medical Center. (Doc. T94-079)
The next item on the agenda was an informational update on the Capital Financing program. Vice
President Lenhardt updated the Committee on the $200 million capital program saying that the
legislature had not moved the HEFA bill and there are indications that they do not fully support the
capital program. Vice President Lenhardt went on to tell the Committee that there are two immediate
issues: the Hospital had been authorized with the Board's support to use $17 million of operating cash for
certain capital projects and it is necessary, to stay within tax laws, to give the Hospital the authority to
borrow capital funds with the pledge of revenue in the Hospital Trust Fund. This could be done when
the Hospital budget is approved in October. Also, there is approximately $15 million of critical repairs
across the University and it may be necessary to borrow from the University and possibly from the
Building Authority as an interim financing measure. Mr. Lenhardt suggested that the Chancellors write
to the President specifying those projects, with the specific amounts needed, which would then be shared
with the Trustees and provide the basis for taking action at a future meeting. Discussion regarding
campus infrastructure needs continued and it was suggested that Trustee Flores would work on a
strategy for bringing this issue to the forefront of the University's legislative strategy.
The next item for discussion was the Building Authority Merg er. General Counsel Kirby updated
the Committee on the proposed Building Authority merger which had previously been proposed in 1991.
It is anticipated that the Governor would file legislation this fall for a single authority merged into the
UMASS Authority, and the Board of that Authority would be expanded to include members of the
current Authorities and the UMASS Board. The legislation is being circulated among the Authorities.
The final action item on the agenda was the Renewal of Excess Malpractice Insurance Coverag e.
Chancellor Lazare reported the importance of having this excess insurance, and Vice President Lenhardt
noted that the Medical Center was able to negotiate an excellent rate. It was further recommended that
this item be voted on the consent agenda of the full Board.
It was moved, seconded and
VOTED : To recommend that the Board strike out from the declarations page of the self-insurance
program, the words "From July 1, 1993 to July 1, 1994" and to insert therein the words "
From July 1, 1994 to July 1, 1996";
And further,
To strike out from the declarations page of the self-insurance program, the words
"$9,000,000 Total Limit for Parts 1 and 2 Combined" and to insert therein the words "
$12,000,000 Total Limit for Parts 1 and 2 Combined." (Doc. T93-126A)
The next item on the agenda for discussion was the FY1995 University Operating Budget Preview .
University Budget Director Uber reminded the Committee that the Operating Budget would come
forward for action in September. The overview of the document is in the materials that were mailed. The
final document is a plan for the year ahead, not a financial report, and looks at general revenues and
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expenses and trends over time. Ms. Uber reminded the Committee that other pieces of the budget have
already come forward (student fees, trust funds, state appropriation allocation, etc.) and will be
integrated into the final budget. She said further that a number of these changes in the budget document
are in response to Trustee requests for clarity and it is helpful to have feedback. Ms. Uber noted that they
will continue to provide interim financial reports, information on the capital program, reports on the
strategic initiatives program, and plan to have a budget workshop for interested Trustees. It was noted
that the Executive Summaries that are provided in the reports are very helpful, but it is necessary to have
the campuses agree on common definitions for clarity and ease in understanding, and a longer-term
financial plan would also be helpful in the legislative budget strategy each year.
The next item on the agenda was the FY1995 Hospital and Group Pra ctice Operating Budg et. Vice
President Lenhardt reported that the Medical Center Task Force has been working with President
Hooker, Chancellor Lazare and others to prepare the budget and another meeting is set for the end of
August. The budget will come to this Committee for recommendation to the Board in October.
Chancellor Lazare commented that their greatest challenge is to make the reductions with speed while
maintaining operations to continue to handle the volume. The Chancellor further reported that they have
made workforce adjustments to increase efficiencies. Deputy Chancellor Stanton reported that the cost
reduction plan is proceeding with the assistance of the Trustees and George McClelland.
Chair Spence noted that the final items on the agenda were for information only and invited any
questions. Regarding the Annual Report on Professional Service Contracts, there were several
questions, particularly in regard to the satisfaction of the campuses with those contracts, and the contract
approval process. Vice President Lenhardt noted that each contract over $100,000 is approved by the
President, and General Counsel Kirby added that all contracts are put out to bid. It was requested that
there be more information provided on the report to include a description of services, the term of the
contract, and whether the contract resulted from an RFP. Further, when a contract reaches or exceeds
$500,000, the Trustees should be notified at that time, rather than waiting for the annual report.
The meeting adjourned at 4:20 p.m.
abeth H. Tuthill
Elizabeth
Assistant Vice President, Board Relations
UNIVERSITY OF MASSACHUSETTS
AMHERST 'BOSTON • DARTMOUTH • LOWELL • WORCESTER
MINUTES OF THE MEETING OF THE
COMMITTEE ON ADMINISTRATION AND FINANCE
Thursday, September 29, 1994; 3:00 p.m.
Board Room
18 Tremont Street
Boston, Massachusetts
Committee and Committee Staff : Chair Spence; Trustees Lizana and Purdy; Vice President and
Secretary Boyd; Ms. Farrell, Assistant Vice President for Board Relations
Committee Members Absent: Trustees Andriolo, Bogan, Flores, Haynes, Lewenberg, O'Leary, Reed
Other Trustees: Trustee Hoff
University Administration : President Hooker; Vice President Lenhardt; General Counsel Kirby;
Chancellors Scott, Penney, Cressy, Hogan and Lazare; Ms. Uber, University Budget Director
Faculty Representatives : Professor May, UMASS Amherst
Chair Spence called the meeting to order at 3:05 p.m. The first item on the agenda was the FY95
University Operating Budg et. Valerie Uber, University Budget Director described the Operating Budget
as the plan for FY 1995, presented on the cash basis for current funds only containing best projections of
current fund revenues and expenditures for the coming fiscal year. (This is in contrast to the FY94
University Financial Report, to be presented in November, which is an after-the-fact accrual based view
of all University financials). The operating budget summarizes information on revenues, expenditures,
enrollments and personnel for the University as a whole and for the campuses. Ms. Uber noted that the
overall budget picture is relatively stable: revenues and expenditures are both projected to increase by 3%
to 4%, there is a slight increase in enrollments and almost no change in personnel. There is an imbalance
in the budget and Ms. Uber explained that some of this reflects planned, one-time expenses that will
disappear in FY96, such as payments for early retirement benefits, or planned use of reserves. She also
indicated that actual experience historically has been better than projected budgets. Campuses are all
dealing with the FY95 budget in their own ways, and based on unique circumstances. Personnel costs are
the major element of overall expenditures and, along with collective bargaining commitments, capital
costs, and student and state revenues will obviously have ramifications for future years as well. The state
share of revenue out of the $1.24 billion budget is 30%.
Trustee Spence then asked each Chancellor to briefly review his or her budget picture, focusing on
the bottom line. Chancellor Cressy reviewed some changes that have been made in the campus's
operations, and income from grants, institutes and continuing education, noting that the most important
capital repair is the steam pipe system. Chancellor Lazare spoke next, noting that though the school
budget is in deficit, there is a large loan repayment that is due to the school from the hospital which
covers that deficit. He then introduced Dr. Arthur Russo who is the new Deputy Chancellor for Clinical
Affairs. Chancellor Penney next reported that for the first time in five years, the campus has a stable
budget, and that they are making the balance through reallocation, having closed the downtown campus
and through staff reductions. Chancellor Hogan then reported that the Lowell campus is prepared to
handle debt service form bonding for capital repairs, and sees a modest revenue increase over the next
five years; the campus plans to cut payroll by $1.8 million. Chancellor Scott next reported on the Amherst
campus bottom-line which is in a $17.4 million deficit, $11 of which is categorized as a one-time deficit,
and $5.4 being actual, structural deficit which must be resolved by FY96, and is propagated from FY93.
There were several follow-up questions for Chancellor Scott, and it was decided that more discussion
would be held.
The item was then moved, seconded and
VOTED: To recommend that the Board approve the FY1995 Operating Budget for the Amherst,
Boston, Dartmouth, Lowell and Worcester campuses, the Maurice Donahue Institute for
Governmental Services, the President's Office and Central Administrative Services as
contained in Doc. T94-062.
and further
VOTED; To recommend that the Board approve the FY1995 Hospital Operating Budget as
contained in Doc. T94-045, Addendum 1.
And further,
To reaffirm the following vote taken by the Board on February 3, 1993:
The University of Massachusetts Medical School Teaching Hospital Trust Fund
reasonably expects to reimburse, from the proceeds of debt to be incurred by the
University expenditures to be advanced for the following project: real estate and
equipment acquisition and building construction, improvements and renovation for the
Cancer Program, the Joseph T. Benedict Building and the Worcester City Campus. The
maximum principal amount of debt expected to be issued for such project, including for
reimbursement purposes is $16.1 million.
The next item on the agenda was the FY96 Budget Request Guidelines . Trustee Spence reminded
the Committee that this item is also considered to a great extent by the External Affairs Committee, and
again recommended this item for the Board's Consent Agenda. President Hooker briefed the Committee
on the University's plan to follow the guidelines recommended by the Fair Share Funding Task Force,
currently being drafted as proposed legislation. Some discussion regarding the process that will be
undertaken during the year was held, and it was agreed would be continued at the External Affairs
Committee meetings. It was further noted that the guidelines are only the beginning of the particular
budget strategies and the campuses should include a role in activity for all coalitions that need to be
involved.
It was moved, seconded and
VOTED: To recommend that the Board approve the FY96 State Budget Request Guidelines which
will be utilized in developing a request to the state for support in the next fiscal year.
(Doc. T94-097)
And further,
To authorize the President to prepare and submit the FY96 State Appropriation request
using approved Budget Request Guidelines and in consultation with the External Affairs
Committee.
The next item on the agenda was the Report of the Investment Subcommittee, and Report of the
Audit Committee . It was agreed that all items would be voted for the Board's approval on the consent
agenda after Trustee Lizana had some of his concerns addressed regarding the Cash Management Policy.
It was moved, seconded and
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VOTED: To recommend that the Board accept the following on the Consent Agenda of the full
Board:
To accept the FY1994 Treasurer's Investment Report as contained in Doc. T94-091.
And further,
VOTED: To recommend that the Board accept the following on the Consent Agenda of the full
Board:
To amend the Cash Management Policy by striking the following:
IV. Investment Banks:
6. The institution must adhere to the University's policy on Investment which states
"The University will not invest in any company or lending institution which, either
directly or through its subsidiaries or affiliates, does business in or with the Republic of
South Africa or in countries with similar apartheid racial policies."
And further,
To add the following language:
III. Investment Policies and Restrictions:
k. Equities - Equity securities may be purchased such that this segment of the
portfolio does not exceed 25% of the total portfolio value. External portfolio managers
will manage this segment of the portfolio. Portfolio weighted average quality will be
maintained at no less than A.
And,
To approve the amendments clarifying existing activity or grammar listed in Doc. T92-
031, Appendix F, as amended.
And further,
VOTED: To recommend that the Board accept the following on the Consent Agenda of the full
Board:
To approve the amendments to the Medical Malpractice Trust Investment Policy listed in
Doc. T90-056A, as amended.
And,
VOTED: To recommend that the Board accept the following on the Consent Agenda of the full
Board:
To approve the Policy on Mobile Telecommunications Device as listed in Doc. T94-030.
And further,
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VOTED; To recommend that the Board accept the following on the Consent Agenda of the full
Board:
To approve the Policy on Individual Transaction Funds Control as listed in Doc. T94-031.
The next item on the agenda was Leased Space, UMASS Worcester . Chancellor Lazare told the
Committee that the leases are necessary for both renewing a lease with the People's Bank (for less space
than they currently have), and for relocating expanded ambulatory operations.
It was moved, seconded and
VOTED: To recommend that the Board take the following action on the Consent Agenda:
To authorize the Chancellor of the Worcester campus, with the approval of the Division
of Capital Planning and Operations, to lease for five years approximately 33,400 net
usable square feet of office space near the Worcester campus for the use of the Group
Practice Plan, Information Resources Department and Continuing Medical Education.
And further,
To authorize the Chancellor of the Worcester campus, with the approval of the Secretary
of Administration and Finance, to lease for five years approximately 4,500 square feet of
space near the Worcester campus in order to operate a satellite clinic in Psychiatry. (Doc.
T94-093)
The next item on the agenda was the Murray Lincoln Fund . President Hooker spoke to the
importance of having this fund for discretionary grants from the President's Office and identified transfer
of examples of the various grants that had been made to each of the five campuses from the discretionary
fund in the President's Office. The transfer of the moneys from this fund would supplement the
discretionary funds currently held by the President.
It was moved, seconded and
VOTED: To recommend that the Board take the following action:
That the income from the Murray Lincoln Fund be transferred into the President's
Program Fund to be expended in accordance with the guidelines for such Fund set forth
in Doc. T94-098.
The next item on the agenda was Capital Financing and Authorization for Intercampus Loan or
Initiation of Project with SMU Building Authority . Trustee Spence noted that the Committee is up-to-
date on the various projects that would be addressed through bond sales that have been approved by the
UMASS Building Authority. These bonds are in place of the State bond program that was not achieved
last year, and the interest rate through the building authority for Commonwealth guaranteed bonds is
comparable to the rate that would have applied last year. In addition, this financing will cover the critical
project needs. In order to begin immediate repair of steam pipes at Dartmouth, the vote will also
authorize an inter-University loan of $6000,000 to Dartmouth to be repaid with building authority bond
proceeds.
To recommend that the Board take the following action:
WHEREAS, University of Massachusetts Building Authority (the "Authority") is
authorized by Chapter 773 of the Acts of 1960, as amended, among other things, to
provide dormitories, dining commons and other buildings and structures for the use of
the University of Massachusetts (the "University")/ its students, staff and their
dependents and certain organizations related to the University, to alter, enlarge,
reconstruct, remodel and do other work in or upon or respecting any building or
structure, to provide and install furnishings, furniture, machinery, equipment and
facilities in or for or related to any such building or structure and to initiate projects for
such purposes upon written request made by authority of the Trustees (the 'Trustees") of
the University and upon written approval from the Commissioner of Administration and
the Chancellor of the System of Public Higher Education (the "Chancellor"); and
WHEREAS, in the judgment of the Trustees it is in the best interests of the University, its
students, staff and their dependents and said organizations that the Authority initiate the
projects described by the following:
NOW THEREFORE, BE IT RESOLVED THAT:
1. The President of the University be and he hereby is authorized in the name and
on behalf of the Trustees to make a written request of the Authority that the Authority
initiate the projects set forth on Schedule A attached hereto.
2. The projects to be initiated by the Authority in accordance with the request
authorized to be made in Section 1 of this resolution may in the discretion of the
Authority be undertaken separately or together for financing purposes; and
3. The President of the University and all other officers of the University be and
they are and each acting singly is authorized and directed to request the Commissioner of
Administration and the Chancellor to approve in writing the undertaking by the
Authority of the projects a request for which is hereby authorized and to do such other
things and to take such other action as to the officer or officers so acting shall, as
conclusively evidenced by their taking the action hereby authorized, deem necessary or
desirable to be done or taken to carry into effect the matters hereby authorized. (Doc.
T92-1 18, Addendum 6, Part Two)
And further,
VOTED:
To recommend that the Board take the following action:
WHEREAS, there is an immediate need to repair steam lines at the Dartmouth campus,
NOW THEREFORE BE IT RESOLVED,
The President of the University is authorized (1) pursuant to Doc. T92-031 to approve an
inter-campus loan to the Dartmouth campus from the University's cash float in an
amount not to exceed $600,000, to be repaid with interest at the prime rate of interest to
be determined by the University Treasurer, from the proceeds of the University of
Massachusetts Building Authority bonds to be issued for emergency capital needs; or (2)
to make a written request of the Southeastern Massachusetts University Building
Authority to initiate a project for repair of the steam lines. In the event that the project is
initiated by the Authority in accordance with this resolution the President and all other
officers of the University be and they are and each acting singly is authorized and
directed to request the Commissioner of Administration and the Chancellor of HECC to
approve in writing the undertaking by the Authority of the project, a request for which is
hereby authorized.
-5-
The President is authorized to do such other things and to take such other action as he
deems necessary or desirable to carry into effect the matters herein authorized.
There was further discussion regarding the Cash Management Policy (as reflected above), and
Trustee Lizana asked that interest earned on Trust Funds be a discussion item for a future meeting. The
meeting was adjourned at 4:10 p.m.
Elizabeth H. Tuthill Farrell
Assistant Vice President, Board Relations
-6-
UNIVERSITY OF MASSACHUSETTS
AMHERST • B OSTON • DARTMOUTH • LOWELL • WORCESTER
MINUTES OF THE MEETING OF THE
COMMITTEE ON ADMINISTRATION AND FINANCE
Tuesday, November 29, 1994; 3:00 p.m.
Board Room
18 Tremont Street
Boston, Massachusetts
Committee and Committee Staff : Chair Spence; Trustees Giblin, Haynes and O'Leary; Ms. Farrell,
Assistant Vice President for Board Relations
Committee Members Absent: Trustees Andriolo, Bogan, Flores, Lewenberg, Lizana, Purdy, Reed
Other Trustees : Trustee Karam
University Administration : President Hooker; Vice President Lenhardt; General Counsel Kirby;
Chancellors Scott, Penney, Cressy, Hogan and Lazare; Ms. Wanczyk, University Controller
Faculty Representatives : Professor May, UMASS Amherst
Chair Spence called the meeting to order at 3:10 p.m. The first item on the agenda was the FY1994
Financial Report . Vice President Lenhardt asked Ms. Wanczyk to identify the highlights of the report.
Ms. Wanczyk noted the importance of Trustee input through interviews and the fiscal conference in
revising and refining the financial report. Ms. Wanczyk then reviewed the report and addressed specific
questions from the Trustees, particularly in the area of the FY94 budget deficit. The Committee expressed £
concern for knowing explicitly when any campus plans to utilize fund balances to meet operating >
expenditure purposes in order to avoid a surprise depletion of those funds. Following discussion a
regarding accrued employee liabilities and workforce, the Committee requested comparable information
from peer institutions, as well as specific manpower information including areas of current hires,
expected hires, hires compared with budget, and headcount vs. FTE numbers. Ms. Wanczyk reminded
the Committee that the financial report includes information for all 13 financial entities that make up the
University; it does not include the foundations. In regard to the standard percentage of tuition and fees
to education and general expenditures, the University is at 30.6%, Standard and Poors recommends 25%
and below; Ms. Wanczyk will prepare for the March Committee meeting the tuition and fee percentage
from peer data for a more relevant comparison.
The Committee returned to the issue of the operating deficit for FY1994, and Trustee Haynes noted i
that the Audit Committee had also discussed this issue and found it significant enough to warrant a
Trustee resolution to continue to ensure the financial integrity of each campus by specifically requesting
information to be collected, held and monitored by the President's office.
Trustee Haynes then put forward the following resolution:
WHEREAS, it is the responsibility of the Trustees and President of the University to
assure the financial integrity of the University; and
WHEREAS, it is the responsibility of the Chancellor of each campus with delegation
from the President to insure the fiscal integrity of the campus; and
>
WHEREAS, the University must have fiscal boundaries that include a positive ratio of
current assets to current liabilities, positive expendable fund balances, and operating
surpluses; and
WHEREAS, the University needs continuing working capital surpluses to support new
program development and increased grant and contract activity, and to plan for fiscal
emergencies:
NOW THEREFORE, BE IT RESOLVED THAT:
The Board of Trustees hereby requests the President to establish and monitor financial
standards and parameters for ensuring the fiscal integrity of the campuses, and further to
set requirements for action when any campus or University operation does not meet said
financial standards, including but not limited to detailed spending plans, monthly
expenditure and revenue reports, and long-term action plans for reaching financial
integrity, provided that the President shall provide a copy of the financial standards and
parameters to the Committee on Administration and Finance and the Audit Committee.
Trustee Haynes further explained the need for the Committees and the Board to know where there
are potential fiscal emergencies, and the need to know actual financial standing to monitor activities in
difficult budget years, such as this year. Trustee O'Leary voiced concern for this being an excessive
burden on the campuses and an exercise that will create an unnecessary and major bureaucracy within
the institution. Trustee Haynes indicated that the intent is not to be onerous, but to monitor and help the
campuses, in addition to building significant data for studying long-term trends. The request for
information on guidelines based on the following resolution will only be made when the situation
warrants it, as determined by the President.
The item was then moved, seconded and
VOTED: To recommend that the Board approve the above resolution.
Trustee O'Leary abstained.
It was then moved, seconded and
VOTED: To recommend that the Board accept the University of Massachusetts FY1994 Financial
Report (Doc. T94-1 13).
The next item on the agenda was the Massachusetts Prepaid Tuition Program . Vice President
Lenhardt pointed to the information that was mailed to the Committee and answered questions
regarding the program. He indicated further that this program is being promoted by the Executive
Offices as well as the Legislature. The major risk to the University is if tuition is consistently increased by
inflation plus 2% on a compounded basis over the next 10 to 20 years.
It was moved, seconded and
VOTED; To recommend that the Board approve participation by the University in the
Massachusetts Prepaid Tuition Program established by the Massachusetts Educational
Financing Authority under the provisions of Massachusetts General Laws, chapter 15C,
§5(fl/2), as described in Doc. T94-116; and further, to authorize the President to enter
into any agreements necessary to effectuate the University's participation in the Program,
including but not limited to agreements to waive, if necessary, increases in mandatory
fees which may exceed the payments received by the University from the Massachusetts
Educational Financing Authority under the Program.
The next agenda item was Update on Capital Financing . Vice President Lenhardt reminded the
Committee that the University's capital program was submitted in the Governor's Capital Bill which will
not likely be acted on in this legislative session. In regard to the UMASS Building Authority. Vice
President Lenhardt indicated that the Authority will be borrowing $18.4 million for repair and
maintenance projects on the four undergraduate campuses. The debt service reserve fund should allow
the University to do approximately $20 million in projects over the next three years.
The next item for action was the SMU Building Authority Refinancing. UMASS Dartmouth . Vice
President Lenhardt noted that Chancellor Cressy and the President recommend this very standard
refinancing which reflects savings to the UMASS Dartmouth campus.
It was moved, seconded and
VOTED : To recommend that the Board approve the SMU Building Authority refunding of its 1986
Series A Bonds as listed in Doc. T94-118. Further, to direct the Dartmouth campus to
develop a final plan for the use of the refund savings as part of its FY1996 Student Fee
Budget process in the Spring, 1995.
The next action item in regard to capital financing was Hadley Farm . Chancellor Scott informed the
Committee that the campus has budgeted for the base payments on the farm. The Committee expressed
it's concern regarding the initial plans brought to the Board for planned fundraising to pay for the farm.
It was moved, seconded and
VOTED : To recommend that the Board authorize the University Treasurer to loan to the
University of Massachusetts Foundation the sum of $2.9 million at an agreed upon
interest rate for a period of ten years, for the purchase, repair and maintenance of the
Hadley Farm, with principal and interest to be repayable based on an amortization
schedule approved by the Treasurer, as set forth in Doc. T90-073, Addendum 1;
and further,
to authorize the Chancellor of the Amherst campus, subject to approval of the General
Counsel, to assent on behalf of the University to a lease agreement between the Division
of Capital Planning and Operation and the Foundation for use of the premises by the
campus; such lease to include a provision for the Amherst campus to pay on a monthly
basis the costs of servicing the $2.9 million loan made by the Treasurer to the UMASS
Foundation.
The next item for action was the Transfer of Capital Asset Reserve Funds to Quasi-Endowment,
UMASS Worcester . Vice President Lenhardt informed the Committee that this vote was necessary under
the previously approved Quasi-Endowment Policy.
It was moved, seconded and
VOTED : To recommend that the Board approve a transfer of $12,800,000 from the Worcester
campus Capital Asset Reserve to the Quasi-Endowment; said funds will be restricted for
capital purposes. (Doc. T94-122)
The next item on the agenda was the Interim Financial Report . Vice President indicated that the
Committee had seen the first quarter report, and the second quarter report at the end of December, 1994
will present a more clear picture of the University's status. A critical area for the University, as discussed
under the Financial Report, was the cost of benefits.
-3-
The final agenda item was the FY1996 Budget Request . The request was sent to the Higher
Education Coordinating Council and will be forwarded now to the Governor and Chairmen of the Senate
and House Ways and Means Committees. The HECC removed $500K from the budget, but the
University will include that item on the request to the Governor and the legislature.
There being no further business to come before the Committee, the meeting adjourned at 4:35 p.m.
Elizabeth H. Tuthill Farrell
Assistant Vice President, Board Relations
-4-
UNIVERSITY OF MASSACHUSETTS
AMHERST 'BOSTON • DARTMOUTH • LOWELL • WORCESTER
MINUTES OF THE MEETING OF THE
ATHLETIC COMMITTEE
Monday, January 24, 1994; 3:30 p.m.
Knapp Room
18 Tremont Street
Boston, Massachusetts
Committee and Committee Staff : Chair Lewenberg; Trustees Cunningham, Foley and O'Leary; Mrs.
Fontaine, Secretary to the Board
Committee Members Absent : Trustees Bogan and Karam
University Administration : President Hooker; Ms. Tuthill, Assistant to the President; Mr. Marcum,
Athletic Director, UMASS Amherst; Mr. Dowd, Athletic Director, Mr. Titus, Athletic Director, UMASS
Boston; UMASS Dartmouth; Mr. Edwards, Athletic Director, UMASS Lowell; Ms. Harris, Athletic Health
Educator and Ms. Sortino, Associate Athletic Director, UMASS Amherst; Mr. Sperounis, Vice Chancellor
for University Relations and Development, UMASS Lowell
Guests : Brian Andriolo, President Student Government Association, UMASS Lowell
Chair Lewenberg convened the meeting at 3:30 p.m. The first item on the agenda was the National
Collegiate Athletic Association. President Hooker reported on the significant outcomes of the recent
National Collegiate Athletic Association convention. He spoke about Presidential leadership and reform
in intercollegiate athletics, the tightening of control and oversight to keep credibility and confidence
within the public. There needs to be continued control through the NCAA. During the convention there
was an issue raised by the Basketball Coaches Association and Black Coaches Association which exposes
the need for debate and discussion of access based on a scholarship reduction and a proposal to reinstate
one scholarship this year. President Hooker also said that he expects a change in the NCAA governance
structure, to create an agenda steering committee and a number of reform efforts to increase truth in
reporting, particularly in the area of financial control.
Each of the Athletic Directors then gave their perspective on the outcome of the convention and the
impact on the campuses. The importance of the special NCAA Committee to study the Association's
membership structure to recommend different modes to the member institutions for review, reactions
and possible action at the NCAA's 1995 convention, with final action to be taken no later than the 1996
convention, was noted and discussed.
There was also a discussion of the realignment of conferences, efforts at UMASS Lowell to reclassify
and the impact if realignment occurs.
Chair Lewenberg spoke about the importance of keeping the Trustees informed and made aware of
the impact of actions taken by the campuses.
The next agenda item was an Update and Information on Diversity Efforts . Chair Lewenberg asked
the Athletic Directors to update the Committee on plans and progress coming out of the Diversity
Training Workshops held last fall. Mr. Marcum introduced Robin Harris, Athletic Health Educator who
said that as a result of the training conference, the campus has identified several issues and concerns on
the campus and future steps to be taken. Among the issues cited were transition issues for black student
athletes to the community, and the need for hiring practices to change so as to increase access for
minorities and women. She also reported on a survey distributed to the students about needs and issues
for the athletes.
Mr. Titus reported that the intercollegiate program at Boston is making an effort to enhance the
women's program, possibly adding soccer and tennis, address facilities issues, and to continue to move in
areas identified as problem areas. He also reported on construction of the new Wellness Center facility,
tentatively scheduled to open in February.
Mr. Dowd also reported on efforts and findings with student teams on diversity issues.
Mr. Edwards reported on activities at Lowell which have been implemented following the initial
Training Workshops. One of the programs he cited was the UMASS Lowell Youngstars Program, a
program where current student-athletes visit local schools to talk with students about a variety of issues
including drug and alcohol use, racism, and staying in school. The campus has also conducted MVP
workshops.
The next item for discussion was the Facility Update on plans for a new facility at UMASS Lowell.
Mr. Edwards reported that a draft feasibility study from Coopers and Lybrand was expected tomorrow.
It is anticipated there will be a public presentation in the next few weeks and Chancellor Hogan will
report on it to the Athletic Committee. Vice Chancellor Sperounis spoke about the need for the facility
including a student center, but at the same time recognized the need for the campus to be sensitive to the
city and explore all possibilities with them. Trustee Cunningham expressed the view that a facility off
campus would fragment the campus and strongly effect morale.
Brian Andriolo, President of the Student Government Association voiced a concern about the
posisibility of two facilities being located in separate locations and the impact in terms of user fees on the
students.
The Committee asked for a future presentation to the Committee, and that visuals of the proposed
site locations be provided.
Under Other Business, Mr. Dowd indicated that there are efforts to attract the World Cup Soccer
team to train at UMASS Dartmouth and he indicated the tremendous impact this would have on
Massachusetts, particularly the Southeastern Massachusetts area.
The meeting adjourned at 4:54 p.m.
Cynthia A. Fontaine
Secretary to the Board of Trustees
UNIVERSITY OF MASSACHUSETTS
AMHERST • BOSTON • DARTMOUTH • LOWELL • WORCESTER
MINUTES OF THE MEETING OF THE
COMMITTEE ON ATHLETICS
Tuesday, March 8, 1994; 3:30 p art.
Knapp Room
18 Tremont Street
Boston, Massachusetts
Committee and Committee Staff : Chair Lewenberg; Trustee Foley; Mrs. Fontaine, Secretary to the Board
Committee Members Absent: Trustees Bogan, Karam and O'Leary
University Administration : President Hooker; Chancellor Scott; Vice President Lenhardt; General
Counsel Kirby; Ms. Tuthill, Assistant to the President; Mr. Marcum, Mr. Titus, Mr. Dowd and Mr.
Edwards, Athletic Directors; Mr. Curley, Merchandising Manager; Mr. Skinner, Associate Athletic
Director
Guests : Mr. Riley, Mr. Sullivan
Chair Lewenberg convened the meeting at 3:50 p.m. The first item on the agenda was
Merchandising and Licensing of UMASS Log o. President Hooker spoke to this issue and the concerns
which have been expressed to him about the marketing of the University logo to the extent that the
University is maximizing revenue. Trustee Lewenberg shared those concerns and noted that with the
success of the athletic programs, there are opportunities to maximize revenue and ensure that we are ^
deriving all available benefits.
Mr. David Curley, Merchandising Manager and Licensing Administration for the entire system from
the Amherst campus, responded to specific questions. He spoke about the enormous growth there has
been for UMASS products in outside retail and gave a comparison of net revenue for the last two years,
noting an increase over the years.
President Hooker expressed the Board's aggressive interest in selling logo items and the value of
getting the University's name out to the public. Chair Lewenberg reinforced this by noting that a key
element is to increase the energy level so that each campus is doing something aggressive and brings the
products to market in an expeditious manner.
In response to a question about the different logos the University licenses, Mr. Curley outlined the
process noting that the University has three trademark patents pending and possibly one more. There
was also a discussion about distribution of the profits as well as preparation for upcoming sales if the
UMASS Amherst Basketball team is successful in the 1994 NCAA tournament.
Chair Lewenberg asked about what resources are needed to allow the program to grow to a top tier
program. There is a need from a personnel perspective for additional marketing and advertising
expertise, specifically in radio and television. There was a suggestion made to develop initiative
programs with manufacturers' representatives.
There was also a discussion about the need for the campus bookstores to be open and to maximize
those opportunities when people are on campus for various events such as graduation and athletic (and
other) events.
>
The next item on the agenda was Facility Update, UMASS Lowell . Mr. Edwards outlined for the
Committee the historical events to the present. He made available the information from the Coopers and
Lybrand feasibility study recently released. The study suggests support for a multi-purpose area with
between 6,000 and 8,000 seats. It is estimated that such a facility would generate an operating deficit of
approximately $543,000 annually, based on an estimated one hundred events being held with a total
attendance of approximately 220,000.
The student concerns that the facility be located on campus were expressed, and Mr. Edwards
outlined Chancellor Hogan's position that if the city or state can secure the funds available he would
participate in the city site, with the University building a recreational facility on campus. It was further
noted that Chancellor Hogan intends to establish a specific time frame of May 1, 1994 for the city to have
the funding, and if funds are not available the University would move forward with a recreational and
facility site on campus.
The Athletic Committee expressed its support of the city /campus cooperative efforts to establish a
multi-purpose arena and agrees that the Chancellor should establish a specific time frame of May 1, 1994
for the City of Lowell to solidify its financial commitment of funds.
The next item on the agenda was Medical Policies and Protocols. Trustee Foley voiced his opinion
that as a University policy, all athletes should have a physical examination each year and that medical
care should continue throughout the season. He noted the educational program at the UMASS Medical
Center which is a model that can be looked at and the campuses should take advantage of those available
resources.
The Athletic directors noted the campus procedures of first year athletes' physical examinations, as
required by the NCAA regulations, and also expressed concern about costs. Trustee Foley suggested the
possibility of the administration pursuing Worcester lending their expertise to provide these
examinations.
Mr. Marcum then updated the Committee on efforts related to Astroturfing and Lighting the
stadium. The estimated cost involved in this project of approximately $1.4 million, with direct benefits
to field hockey, band festivals, and the Ogden Company providing summer concerts. There was then a
discussion of related issues including injuries and funding.
Trustee Foley expressed concern about increased risk of injuries and asked that there be more staff
research on the current literature on this subject.
There being no further business to come before the Committee, the meeting adjourned at 6:32 p.m.
C
'ynthia A. Fontaine
Secretary to the Board of Trustees
-2-
UNIVERSITY OF MASSACHUSETTS
AMHERST • BOSTON • DARTMOUTH • LOWELL • WORCESTER
MINUTES OF THE MEETING OF THE
COMMITTEE ON ATHLETICS
Tuesday, March 8, 1994; 3:30 pan.
Knapp Room
18 Tremont Street
Boston, Massachusetts
Committee and Committee Staff : Chair Lewenberg; Trustee Foley; Mrs. Fontaine, Secretary to the Board
Committee Members Absent: Trustees Bogan, Karam and O'Leary
University Administration : President Hooker; Chancellor Scott; Vice President Lenhardt; General
Counsel Kirby; Ms. Tuthill, Assistant to the President; Mr. Marcum, Mr. Titus, Mr. Dowd and Mr.
Edwards, Athletic Directors; Mr. Curley, Merchandising Manager; Mr. Skinner, Associate Athletic
Director
Guests : Mr. Riley, Mr. Sullivan
Chair Lewenberg convened the meeting at 3:50 p.m. The first item on the agenda was
Merchandising and Licensing of UMASS Log o. President Hooker spoke to this issue and the concerns
which have been expressed to him about the marketing of the University logo to the extent that the
University is maximizing revenue. Trustee Lewenberg shared those concerns and noted that with the
success of the athletic programs, there are opportunities to maximize revenue and ensure that we are
deriving all available benefits.
Mr. David Curley, Merchandising Manager and Licensing Administration for the entire system from
the Amherst campus, responded to specific questions. He spoke about the enormous growth there has
been for UMASS products in outside retail and gave a comparison of net revenue for the last two years,
noting an increase over the years.
President Hooker expressed the Board's aggressive interest in selling logo items and the value of
getting the University's name out to the public. Chair Lewenberg reinforced this by noting that a key
element is to increase the energy level so that each campus is doing something aggressive and brings the
products to market in an expeditious manner.
In response to a question about the different logos the University licenses, Mr. Curley outlined the
process noting that the University has three trademark patents pending and possibly one more. There
was also a discussion about distribution of the profits as well as preparation for upcoming sales if the
UMASS Amherst Basketball team is successful in the 1994 NCAA tournament.
Chair Lewenberg asked about what resources are needed to allow the program to grow to a top tier
program. There is a need from a personnel perspective for additional marketing and advertising
expertise, specifically in radio and television. There was a suggestion made to develop initiative
programs with manufacturers' representatives.
There was also a discussion about the need for the campus bookstores to be open and to maximize
those opportunities when people are on campus for various events such as graduation and athletic (and
other) events.
>
XI
The next item on the agenda was Facility Update, UMASS Lowell . Mr. Edwards outlined for the
Committee the historical events to the present. He made available the information from the Coopers and
Lybrand feasibility study recently released. The study suggests support for a multi-purpose area with
between 6,000 and 8,000 seats. It is estimated that such a facility would generate an operating deficit of
approximately $543,000 annually, based on an estimated one hundred events being held with a total
attendance of approximately 220,000.
The student concerns that the facility be located on campus were expressed, and Mr. Edwards
outlined Chancellor Hogan's position that if the city or state can secure the funds available he would
participate in the city site, with the University building a recreational facility on campus. It was further
noted that Chancellor Hogan intends to establish a specific time frame of May 1, 1994 for the city to have
the funding, and if funds are not available the University would move forward with a recreational and
facility site on campus.
The Athletic Committee expressed its support of the city /campus cooperative efforts to establish a
multi-purpose arena and agrees that the Chancellor should establish a specific time frame of May 1, 1994
for the City of Lowell to solidify its financial commitment of funds.
The next item on the agenda was Medical Policies and Protocols. Trustee Foley voiced his opinion
that as a University policy, all athletes should have a physical examination each year and that medical
care should continue throughout the season. He noted the educational program at the UMASS Medical
Center which is a model that can be looked at and the campuses should take advantage of those available
resources.
The Athletic directors noted the campus procedures of first year athletes' physical examinations, as
required by the NCAA regulations, and also expressed concern about costs. Trustee Foley suggested the
possibility of the administration pursuing Worcester lending their expertise to provide these
examinations.
Mr. Marcum then updated the Committee on efforts related to Astroturfing and Lighting the
stadium. The estimated cost involved in this project of approximately $1.4 million, with direct benefits
to field hockey, band festivals, and the Ogden Company providing summer concerts. There was then a
discussion of related issues including injuries and funding.
Trustee Foley expressed concern about increased risk of injuries and asked that there be more staff
research on the current literature on this subject.
There being no further business to come before the Committee, the meeting adjourned at 6:32 p.m.
C
'yntnia A. Fontaine
Secretary to the Board of Trustees
-2-
UNIVERSITY OF MASSACHUSETTS
AMHERST -BOSTON •DARTMOUTH • LOWELL • WORCESTER
MINUTES OF THE MEETING OF THE
COMMITTEE ON ATHLETICS .
Tuesday, September 20, 1994; 3:30 p.m. v * v .*,
18 Tremont Street - Suite 800
Knapp Room
Boston, Massachusetts
Committee and Committee Staff : Chair Lewenberg, Trustees Andriolo and Foley; Vice
President and Secretary Boyd; Assistant Vice President Farrell
Committee Members Absent : Trustees Bogan, Karam and O'Leary
Other Trustees : Trustee Haynes
University Administration : President Hooker; Chancellor Hogan; General Counsel Kirby;
Athletic Directors Dowd, Edwards, Marcum, and Titus; Vice President Sessoms
Guests : Mark Lindhult, UMASS Amherst
Chair Lewenberg convened the meeting at 3:35 p.m. and introduced the first item,
presentation of the Annual Reports Including Academic Statistics, and noted that he was
concerned about the usefulness of the annual reports, wanting to minimize the time spent
preparing information that is not useful in an overall way. Trustee Lewenberg further requested
that, at the conclusion of the reporting from the Athletic Directors, there should be discussion on
information that should be in the annual reports.
Each athletic director then reviewed particular aspects of their reports: 1993-94 Major
Accomplishments and a preview of the year ahead; academics: achievements; changes, progress,
needs; student satisfaction (intercollegiates, intramurals); community activities: major programs;
facilities: progress or needs. Discussion regarding graduation rates was held, and in particular,
the problem for Division III institutions (Boston and Dartmouth) as more Division III athletes
don't compete for all four years. Trustee Lewenberg reiterated the importance of collecting the
data for reasons of understanding the connection of the various data (SAT scores, GPA's,
graduation rates, etc.) to the larger mission of the departments and the campuses as a whole.
Trustee Lewenberg further requested that the annual report financial sections include less
details regarding purchases, but more comparative data, for example, the amount it costs to field
a particular program. The only financial information that is coordinated by the NCAA is for
Division I institutions and will, most likely, only be used for a limited purpose. There was also
discussion regarding the comparative numbers of male and female athletes, and Title IX
initiatives at all of the campuses. In the area of student satisfaction, UMASS Amherst conducts
an "Exit Interview" survey of its athletes who have completed their eligibility, asking various
questions about their experience as an athlete and as a student. The athletic directors from
UMASS Boston and Dartmouth requested that Mr. Marcum share that survey with them.
Trustee Lewenberg then referred the Committee to the mission statement of the Athletic
Committee which was approved on November 18, 1992 as a reminder to the Committee of the
purpose for meeting and the basis for the requests for information.
The next agenda item was discussion of the Lowell Arena . Chancellor Hogan provided an
update on the progress of the proposed arena, noting that the two central issues are a student
center that will bring the student population together in a social area which the campus currently
lacks, and a hockey rink for intercollegiate, intramural and recreational use for the campus. The
City of Lowell has proposed building a City arena which UMASS could use leaving the
University to build its own student center on campus. The city did receive authorization for $20
million to build the arena from the state. The campus has made a proposal to provide a
contribution to the building of the city's arena (the practice rink) in receipt for 10 rent-free playing
nights, and 825 hours of practice and recreational time every year. There is no expectation of an
answer on this proposal from the city in the immediate future.
Trustee Lewenberg then asked Mark Lindhult from UMASS Amherst to provide the
Committee information from his work on the Lowell Study Group where he and his colleagues
were asked to look at the physical layout of the campus and consider other issues, such as
enrollment and market niche. Mr. Lindhult described the process which included interviewing a
great number of students, faculty, staff, members of the Lowell Plan and city administrators
regarding the place of the University in the community. Much of the discussion regarding the
layout of the campus centered on the arena.
Mr. Lindhult then presented a video representation of the campus, identifying the four
proposals. City Option I would have the arena and practice rink located on the city cite and the
student center on the University parcel (distance is approximately 2500 ft.); City Option II would
have the arena located on the city cite, with the practice rink and student center on the University
parcel, physically linked to the downtown arena with improved transportation and lighted
walkways. If these options fail, the University would build its own arena and student center on
University property, and there are currently two proposed campus locations, being the third and
fourth options. Mr. Lindhult's recommendation would be City Option II; based on campus need,
location, and cost. Mr. Edwards commented on the need for a defined and well-established
headquarters for the hockey coach and team, particularly for recruiting purposes. Other issues to
consider are the ownership of rental ice, capacity of the two proposed arenas, attendance for
hockey games, and location and availability of the city parcel for the arena. The construction
timeline would be approximately 3.5 years.
The Chancellor reiterated the possibility of working with the city on the entire project, but
also noted that campus has continued to leave the management of the arena to the city, and the
University has no intention of participating in any deficit amelioration of a city-built and
operated arena. Trustee Andriolo spoke of the campus pride in the hockey team and how it is
essential to have the facilities built, for the student body and the continued success of the team
and expressed concern for any operating deficit from the arena, noting that students should not
be at any risk of shouldering any deficits. There was general agreement that the University could
not take any responsibility for any deficit deriving from operations of a city owned and operated
arena.
The Committee stressed its intention to cooperate to the fullest extent possible in order to
make the project successful, also noting the priority being the fiduciary responsibility of the
Trustees. Trustee Lewenberg asked that some credible conclusion from these studies be brought
to this Committee and the Administration and Finance Committee. He also noted that the
Committee would like to have conclusion on this entire issue by January. The Committee was
further reminded that though the legislature has authorized $20 million for the arena, the
Governor has not released the fund which would come from G.O. bonds.
There being no further business to come before the Committee, the meeting was adjourned at
5:50 p.m.
Elizabeth Tu thill Farrell
Assistant Vice President, Board Relations
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UNIVERSITY OF MASSACHUSETTS
AMHERST • B OSTON 'DARTMOUTH • LOWELL • WORCESTER
MINUTES OF THE MEETING OF THE
COMMITTEE ON ATHLETICS
Monday, November 21 1994; 3:00 p.m.
18 Tremont Street - Suite 800
Knapp Room
Boston, Massachusetts
Committee and Committee Staff : Chair Lewenberg, Trustees Andriolo, Bogan, Foley and
O'Leary; Assistant Vice President Farrell
Committee Members Absent : Trustee Karam
University Administration : President Hooker; Chancellors Hogan and Scott; General Counsel
Kirby; Athletic Directors Dowd, Edwards, Marcum and Titus; Associate Athletic Directors
Skinner and Sortino; Vice President Sessoms; Mr. Costello, Chair, UMASS Lowell Athletic
Committee; Mr. Chesloff, Assistant to the President
Guests Julie Thomas, President, UMASS Lowell SGA; Mark Druen, President, UMASS Lowell
Senior Class; Cory Lewandowski
Chair Lewenberg convened the meeting at 3:05 p.m. President Hooker began by citing the
unfortunate press coverage of the UMASS Amherst men's basketball team academic standing,
noting that he and the Chancellor are working together with the Athletic Director, the Coach, the
advisors and the team to continue to ensure strong academic success for student athletes and he g
reported that the current academic support program is very good. Chancellor Scott will provide >
a report to the next meeting of the Athletic Committee on this issue, including a report on *)
particular courses that some student athletes are enrolled in. Chair Lewenberg noted his
confidence in the integrity of the academic program for athletes and the leadership of Coach
Calipari in this area.
Chair Lewenberg then introduced the first item, discussion of the Trophy/Cup Award,
UMASS Amherst and Lowell . After some discussion, it was decided that the President's Office
would work out the details for presenting a trophy to the winner of the three hockey contests
between the two institutions for this (1994-95) season. Is was also suggested an endowment for
the trophy be solicited. The athletic directors from the Boston and Dartmouth campuses
expressed interest in a winner's trophy or cup stemming from contests between the two
institutions, which they will further discuss and bring back to this Committee.
The next item on the agenda was an update on the Division 1A Task Force, UMASS
Amherst . Chancellor Scott indicated that the task force membership was established and they
hope to convene a meeting very soon. He outlined the charge of the task force being to explore
the implementation of Division 1A football, and identified the various areas that the task force
will address. Trustee Lewenberg is a member of this task force. The task force is expected to
complete a report by the end of the 1995 academic year which will be shared with campus
governance groups, university administration and this Committee. Some further discussion
regarding the change to Division 1 A football was held, particularly the importance of keeping the
football stadium on the campus. An important consideration (which will be studied by the task
force) is whether the region can support the program.
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The next item on the agenda was the discussion of the proposed Lowell Arena . Chancellor
Hogan updated the Committee on the progress to date of discussions between the city and the
University, and reviewed the various aspects of the proposed financial plans to support the
arena, from the city, the state and the University. The Chancellor reviewed the physical needs of
the campus, and the proposed sites and options for the student center and ice facility. The
Chancellor proposed that the student center be built on the campus and that the campus be a
tenant in the city's ice arena which would be located on a site adjacent to the campus. He noted
his concern for the future of the city and the need for the campus to work with the city to support
and encourage the economic revitalization. Further discussion regarding the bond bill, the city
referendum, the city's current plans to hire a manager, the building sites and potential
obstructions to building, the potential of having a minor league hockey team, and the campus
plans for student services were discussed.
Chair Lewenberg then offered the floor to three students from UMASS Lowell who spoke in
turn, Julie Thomas, president of the Student Government Association; Matt Druen, president of
the UMASS Lowell senior class, and Cory Lewandowski. They spoke regarding communications
with city officials, the importance of the hockey program, the critical relationship between the
institution and the business plans at the arena, and the need for a student center The Committee
then heard from Thomas Duffy, immediate past-president of the UMASS Lowell Alumni
Association (see attached letter for record).
Chair Lewenberg then asked President Hooker to convene a group consisting of
representation from the Committee (Trustee Lewenberg would serve), the President's and
Chancellor's staff (including the Chancellor) to study how best to come to agreement on the arena
to the benefit of all parties concerned. The Trustees offered their support of the Chancellor and
indicated their interest in helping to resolve this issue, with the first objective being the protection
of the fiduciary interests of the campus.
Chair Lewenberg then turned to the next item, Update and Overview of Title IX Activity,
the first discussion item being the Legislative Report . President Hooker indicated that the
legislature will probably not consider this item during this term due to the amount of business to
consider in a short period of time, but that the Administration is still encouraging activities on
behalf of the Governor's capital outlay bill. Trustee Lewenberg indicated the Committee's
interest in continuing the discussion regarding artificial turf as the subject had not been resolved
at the Committee level; General Counsel Kirby noted that if funds are spent on Astroturf it must
be for field hockey, but there is flexibility in the area of placing the Astroturf.
The Committee then heard Campus Updates on Title IX . Each athletic director reviewed
progress and plans for Title IX compliance on the campuses. The information compiled was
based on new federal regulations and reviewed with an eye toward comparability across the
campuses and year-to-year progress reports. The Trustees reiterated their interest in having all
campuses in Title IX compliance, and President Hooker reminded the Committee of his promise
that all campuses would be in compliance by the year 2000. Further discussion was held
regarding legal and OCR requirements for determining compliance, more and more based on
rulings by federal courts. For the Amherst campus, changes and progress made accelerates the
five year plan in the area of participation rates and scholarships. Discussion regarding salary
structure at the four campuses was also held, pointing out that salaries are driven by market
factors and are more an employment issue than Title IX.
The next item on the agenda was the Review of First Year of CSSS/NCAS Membership .
Each campus reported on their activities with the Center, all of them finding the programs very
helpful. They have, in various capacities, continued the special programs, like the Diversity
Training Program. The Amherst and Lowell campuses are involved in the MVP program and
have found it a positive impact on their students, but issued concerns regarding the privacy
issues for a particular survey request. Chair Lewenberg reiterated the importance of the Athletic
Departments being leaders and central players in the overall campus life, and that outreach to the
community is essential for athletic departments.
Mr. Skinner noted that the director of Lowell's National Youth Sports Program (NYSP) will
be attending the national workshop for the NYSP where the program will be recognized as one of
the outstanding programs of its kind in the nation.
Trustee Foley indicated the importance of the Astroturf discussion to the Athletic Committee
and, in light of the Governor's Capital Bill, would like to ensure that the Trustees come to
resolution on the issue with thorough discussion regarding plans for determining which teams
would use the turf and what the needs are.
Trustee Foley then made a motion to enter Executive Session to discuss potential litigation
issues. Chair Lewenberg voted for the motion as did Trustees Andriolo, Bogan, Foley, and
O'Leary. The time was 5:25 p.m.
The meeting was adjourned at 6:05 p.m.
lizabeth H.Tu thill Tarrell c
Assistant Vice President, Board Relations i-
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UNIVERSITY OF MASSACHUSETTS
AMHERST 'BOSTON • DARTMOUTH • LOWELL • WORCESTER
MINUTES OF THE MEETING OF THE
AUDIT COMMITTEE
Tuesday, January 4, 1994; 8:30 a.m.
18 Tremont Street - Suite 800
Board Room
Boston, Massachusetts
Committee and Committee Staff : Chair Haynes and Mrs. Fontaine, Secretary of the Board
University Administration : Chancellor Lazare, Executive Vice President Sessoms; Vice
President Lenhardt; General Counsel Kirby; Mr. Wolcott, Director of Auditing; Vice Chancellor
Page and Deputy Chancellor Stanton
Guests : Mr. Robert Elam and Ms. Donna Desmond, Ernst & Young
Chair Haynes convened the meeting at 8:45 a.m. Mr. Wolcott then briefed the Committee
about the University Auditor's reports listed on the agenda. The first two audits, Recreational
Fees and Public Safety Payroll System. UMASS Amherst , were follow-up audits. Mr. Wolcott
spoke to the implementation of the corrective actions. Chair Haynes noted concern about the one
unaddressed issue.
The next audit reviewed was the Employee Business Expenses Processing and Control
Audit, UMASS Worcester . The university-wide issues were identified and the recommendations
were discussed. The Chair asked that the administration develop issuance and monitoring
policies related to these issues and report back to the Committee for review and further
discussion.
Other areas specific to the Worcester campus were discussed and it was noted that corrective
actions have been implemented. A copy of the campus' response to the audit was distributed to
the Committee. It was moved, seconded and
VOTED : To recommend that the Board accept the following Reports:
•Recreational Fees Follow-Up Audit, UMASS Amherst (Doc. T94-004)
•Division of Public Safety Payroll System Follow-Up, UMASS Amherst
(Doc. T94-005)
•Employee Business Expense Processing and Control Audit, UMASS Worcester
(Doc. T94-007)
Mr. Wolcott then presented for acceptance two External Audit Reports . It was moved,
seconded and
VOTED : To recommend that the Board accept the following Reports:
•WFCR-FM & Friends of WFCR, Inc., FY93 Audited Financial Statements
(Doc. T94-002)
•WFCR-FM Management Letter, UMASS Amherst (Doc. T94-003)
The next item, which was for discussion, was the Interim Report, Survey of Ancillary
Services, UMASS Worcester. Mr. Stanton commented about this audit and the process which
was a cooperative venture with the University Auditor's Office and the UMMC Hospital.
Mr. Wolcott then updated the Committee on the Status of Medical Center Audit Staffing
and reported that negotiations with an individual are currently ongoing.
The next item on the agenda was University Audit Status. Mr. Wolcott commented on
several developments.
• The Chapter 647 Compliance, University-wide audit conducted by the Office of the State
Auditor is underway and results will be reported to the Committee.
• The Sales Tax Audit conducted by the Department of Revenue is continuing and potential
sales tax liability for telecommunications charges to resident students at UMASS Amherst
will have a significant impact.
• The draft Legislated Review of whether the medical center can operate with a smaller state
subsidy than it received in fiscal year 1993 or become self-supporting has been received
and is being reviewed. Mr. Stanton reported that the campus administration is working
with State Auditor's office.
The Committee then heard from Mr. Robert Elam and Ms. Donna Desmond from Ernst &
Young about FY93 Audited Financial Statements, the Worcester City Campus Corporation
Management Letter and other Managem ent Letters related to the Teach ing Hospital, Group
Practice, Self Insurance Trust and Information Systems .
In reviewing the Management Letter for the Teaching Hospital, Ms. Desmond highlighted
some of the comments identified, among them the need to perform an audit on fixed assets and
issues related to the converting of the new patient accounts receivable system. The attention and
adequate staffing and training needed to ensure a successful transition to the new system was
stressed. The management of Workers' Compensation claims and the new state program was
also discussed. The billing of the actual worker's compensation payment rather than using a
fixed rate presents opportunities to achieve cost savings by managing the claims. It was noted
that the University is looking at this on a University-wide basis. Trustee Haynes encouraged this
effort and the expertise of the Medical Center to assist the other campuses. Also reviewed were
the information systems control environment. Ms. Desmond identified a number of comments
dealing with improvements and generally strengthening overall controls of systems. It was the
general consensus to expend all efforts to ensure appropriate systems are in place.
She also reviewed with the Committee the Management Letter for the Group Practice Plan,
and identified several areas that needed continued improvement.
Mr. Elam then reviewed the Self Insurance Trust Management Letter and recommendations
contained therein. He also spoke to the Audited Financial Statements for Worcester City
Campus Corporation and details of the Balance Sheet, the Statement of Operations and
Statement of Changes in Fund Balances through Tune 30. 1993 .
It was then moved, seconded and
VOTED : To recommend that the Board accept the following Reports:
• Audited Financial Statements for FY93 for the Worcester City Campus
Corporation (Doc. T94-001)
•Management Letter for Worcester City Campus Corporation (Doc. T94-011)
•Teaching Hospital Trust Fund Management Letter (Doc. T94-008),
•Group Practice Plan Management Letter (Doc. T94-009),
•Self Insurance Trust Management Letter (Doc. T94-010),
•Teaching Hospital and Group Practice Plan Information Systems Management
Letter, UMASS Worcester (Doc. T94-012)
Chair Haynes then asked for a motion to go into executive session to discuss a draft audit and
stated that the Committee would not reconvene in open session.
It was moved, seconded and
VOTED : To enter Executive Session.
The time was 10:30 a.m. Chair Haynes voted for the motion. The meeting adjourned at
10:40 a.m.
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LuxlLou Of
<2ynthia A. Fontaine
Secretary to the Board of Trustees
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UNIVERSITY OF MASSACHUSETTS
AMHERST 'BOSTON • DARTMOUTH • LOWELL • WORCESTER
MINUTES OF THE MEETING OF THE
AUDIT COMMITTEE
Tuesday, March 1, 1994; 8:30 a.m.
18 Tremont Street - Suite 800
Knapp Room
Boston, Massachusetts
Committee and Committee Staff : Chair Haynes; Trustees O'Leary and Poduska; Mrs. Fontaine,
Secretary to the Board
University Administration : President Hooker (via Conference Call); Vice President Lenhardt; Mr.
Wolcott, Director of Auditing; Ms. Wanczyk, University Controller; Chancellor Penney; Vice Chancellors
Page, MacCormack, Dars and Goodwin; Deputy Chancellor Stanton <
Guest: Mr. Gabranski, Coopers & Lybrand
Chair Haynes convened the meeting at 8:35 a.m. The first item was Audit Reports .
The first item on the agenda was Campus Response to the Employee Business Expense Audit Mr.
Wolcott presented this item and Chair Haynes commented that he hoped the University could adhere to
the policies and secure compliance. The next two external audit reports dealt with Athletic Programs
and the Outside Booster Organization. UMASS Amherst . Mr. Wolcott explained that these two audits
were essentially designed to comply with NCAA requirements. There were no items of significant 5
stature.
The next item was the Audited Financial Statements for FY93 and Management letter for the
Student Health Services and Kaiser Perma nente Trust Funds . Mr. Wolcott explained that this audit was
done under contract with KPMG Peat Marwick and is done every third year. The opinion was
unqualified and audit and management letter comments were innocuous. Vice Chancellor Page
responded to the issue of the deficit situation and specifics within the budget related to transfers. Vice
Chancellor Page indicated that the trust fund budget coming forward to the Board will show changes.
Mr. John Gabranski from Coopers & Lybrand, then spoke to the Management Letter for the
University General Purpose Financial Audit for FY93 . He outlined the assessment of internal controls,
and stated the most critical element is the control environment and the tone set for the University. This
encompasses the role of the Board of Trustees, the organizational structure, management's philosophy
and style and methods established for control, monitoring and follow-up on performance.
With regard to the Accounting System, it must be timely and in sufficient detail to permit proper
recording and reporting in the financial reports.
He cited significant improvement in the area of grant management and reporting with respect to
interim financial reporting.
Chair Haynes indicated that one of the area of concerns in the past was in the area of timeliness, and
asked if there were staffing problems or other issues, citing a number of areas within the management
letter that speak to the area of lack of appropriate resources.
H
Mr. Gabranski also spoke to the need to focus on the University system level, including the areas of:
^Merger considerations/ strategic planning,
"Strategic planning,
*Grant management
*Tax matters and Financial Reporting
The Committee then reviewed the document distributed by Mr. Gabranski relating to Financial
Ratios Trend Analysis and Peer Comparisons . The institutions which the University was compared to
included California, Maryland, Missouri and Nebraska. The Committee spoke about the importance of
the data included in this document and there was a discussion of the ways to have this information reach
the different constituencies.
It was then moved, seconded and
VOTED : To recommend that the Board accept the following Reports:
•Employee Business Expense Reimbursement Audit, UMASS Worcester
(Doc. T94-007, Addendum 1)
•Department of Athletics and Intramurals (Doc. T94-024)
•Outside Booster Organization, UMASS Amherst (Doc. T94-025)
•University Health Services (Student Health and Kaiser Permanente Trust Funds), FY93
Audited Financial Statements (Doc. T94-026)
• University Health Services Management Letter, UMASS Amherst (Doc. T94-027)
•University General Purpose Audit Management Letter (Doc. T94-028)
Mr. Wolcott then presented the recommendation to extend the audit contract for the Annual
Financial Audit for FY94 & FY95 . Mr. Wolcott reviewed the process, including campus solicitation. Mr.
Wolcott noted that the state comptroller has given the University the opportunity to assume
responsibility for its part of the state's single audit. The total costs for the 1994 and 1995 audits have not
been determined, primarily due to uncertainties from the single audit work.
It was agreed to accept the staff recommendation to extend the audit contract with Coopers and
Lybrand for the University's general purpose financial audit for the fiscal years ending June 30, 1994 and
June 30, 1995 with the provision that appropriate financial aspects be worked out.
Mr. Wolcott then noted the development, as requested by the Committee at its last meeting, of
policies on Mobile Telecommunications and Individual Transaction Funds . He indicated that copies
have been circulated at the campus level, and that other segments of the University (purchasing and
controllers) will have an opportunity to review these documents prior to finalization. The Committee
stressed the need for standard fiscal policies and system-wide integration, noting the uniqueness of each
campus.
Mr. Wolcott then reviewed University Auditing Status as outlined in Document T94-029.
Chair Haynes then asked for a motion to go into Executive Session to investigate charges of criminal
misconduct or to discuss the filing of criminal complaints and stated that the Committee would not
reconvene in open session.
It was moved, seconded and
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VOTED : To enter executive session.
The time was 9:45 a.m. Chair Haynes voted for the motion as did Trustees O'Leary and Poduska.
The meeting adjourned at 10:10 a.m.
a
Cyhthia A. Fontaine
Secretary to the Board of Trustees
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UNIVERSITY OF MASSACHUSETTS
AMHERST 'BOSTON • DARTMOUTH • LOWELL • WORCESTER
MINUTES OF THE MEETING OF THE
AUDIT COMMITTEE
Tuesday, July 12, 1994; 8:30 a.m.
18 Tremont Street - Suite 800
Knapp Room
Boston, Massachusetts
Committee and Committee Staff : Chair Haynes, Trustee Poduska, Assistant Vice President
Tuthill
Committee Members Absent : Trustees Lizana and O'Leary
University Administration : President Hooker; Chancellor Penney; Vice President Lenhardt;
General Counsel Kirby; Mr. Wolcott, Director of Auditing; Vice Chancellors Dars, Page, Goodwin
and McCormack; Deputy Chancellor Stanton
Chair Haynes convened the meeting at 8:30 a.m. and introduced the first item under the
University Auditor's Reports, the President's Office Expenditures, FY93. Mr. Wolcott noted
that this audit had been done at the request of the Audit Committee and the President and
showed no deficiencies. Another audit will be conducted for FY94.
The next item was the Follow-Up Audit State Auditor's Report on Body Shops Operations,
Exercise Science Department, UMASS Amherst . This follow-up audit was conducted to ensure
that alt*of the corrective actions agreed to in the State Auditor's Report are currently underway.
Mr. Wolcott reported that there are very few items which haven't yet been undertaken and
further stated that the cash management has greatly improved. There was also discussion on the
question of the decentralized management system and the possibility of further centralizing
operations to ensure compliance.
The third Auditor's Report was the Follow-up Audit, International Programs Office,
UMASS Amherst . Mr. Wolcott reminded the Committee that the initial audit of this department
was delayed due to a fire in that office. As they are operating out of multiple locations, the
amount of work on this audit has been limited, but should be in full force in September.
The next item was the Contractual Compliance, Campus Bookstore, UMASS Boston . This
audit was requested by the former Student Trustee from UMASS Boston. Mr. Wolcott reported
that the audit reveals some minor processing problems but overall the contract was being
complied with. The contract is currently being re-bid.
The fifth Auditor's Report was Federal Indirect Costs Review. UMASS Boston . Mr. Wolcott
reported that the campus is highly conservative in its reporting on Federal Indirect Costs and
suggested that they could include more allowable costs in their reporting.
The next Report was Bursar's Office Automated Check-Writing System Follow-Up Report,
UMASS Boston . Regarding this audit, Mr. Wolcott said that the implementation of an
automated system has allowed the campus to generate checks on the campus, thereby
eliminating the need for excessive cash-in-hand. He said that a particular concern coming out of
the audit was the under-staffing in the office. Discussion of banking issues on each of the
campuses and the function of a more centralized treasury followed. Of great cost to the
University is the distribution of checks to employees as opposed to direct deposits, and more
employees should be encouraged to have their paychecks directly deposited to their banks.
The last University Audit Report for action was the State Audit Follow-Up Report and a
Review of Parking Garage Administration and Control. UMASS Boston. Mr. Wolcott reported
that the major problem with the garage is the unpaid charges which date many years back and
the early closure of the garage, after which time drivers are able to exit without paying. The
campus has kept the garage open later which has improved the payments, and is planning to
implement an automated system which will improve the control issues, but the question of
payment and key-cards is not yet resolved. The garage is a self-sufficient entity and receipts pay
for buses, plowing and repairs.
It was then moved, seconded and
VOTED; To recommend that the Board accept the following Auditor's Reports on the
Consent Agenda of the full Board:
Audit Report No. 94-8, President's Office Expenditures Audit (Doc. T94-049)
Audit Report No. 94-9, Follow-Up Audit—State Auditor's Report on Exercise
Science Department's Body Shop Operations, UMASS Amherst (Doc. T94-047)
Audit Report No. 94-10, Follow-Up Audit— International Programs Office,
UMASS Amherst (Doc. T94-048)
Audit Report No. 94-11, Contractual Compliance, Campus Bookstore, UMASS
Boston (Doc. T94-052)
Audit Report No. 94-12, Federal Indirect Costs Review, UMASS Boston (Doc. T94-
053)
Audit Report No. 94-13, Bursar's Office Automated Check-Writing System Follow-
Up Report, UMASS Boston (Doc. T94-069)
Audit Report No. 94-14, State Audit No. 90-6005-9 Follow-Up Report and Review
of Parking Garage Administration and Control, UMASS Boston (Doc. T94-070)
The next item on the agenda was the External Audit Reports, the Intercollegiate Athletic
Program, NCAA Report and the Intercollegiate Athletics Program Consolidated Statement of
Revenues and Expenditures, UMASS Lowell. Mr. Wolcott reported and Vice Chancellor
Goodwin concurred that there are no issues of concern or questions related to these reports or
this Department.
It was moved, seconded and
VOTED : To recommend that the Board accept the following External Audit Firm Reports on
the Consent Agenda of the full Board:
• Audit Report No. 94-19E, Intercollegiate Athletic Program, UMASS Lowell, NCAA
Report (Doc. T94-050)
• Audit Report No. 94-20E, Intercollegiate Athletics Program, UMASS Lowell,
Consolidated Statement of Revenues and Expenditures (Doc. T94-051)
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The next item on the agenda was the Audit Contract Approval, and the University Auditor's
Recommendation for the Annual Audit of Continuing Education, UMASS Boston. Mr.
Wolcott indicated that the Continuing Education Department requested annual audits and his
recommendation was that they contract with and pay for an external audit due to the perceived
risk in the audit as well as the workload of the auditing office. The first year they did a sole-
source contract with Coopers and Lybrand as a one-year pilot project. The first audit went very
well and set the guidelines for future needs and allowed a thorough RFP to be developed for
competitive bid. The recommendation comes from the selection committee.
It was moved, seconded and VOTED :
To concur with the recommendation of the University Senior Director for
Auditing and Fiscal Affairs to select the firm of Daniel Dennis and Co., as the
independent external auditor for the Annual Audit of Continuing Education,
UMASS Boston, for fiscal years ending June 30, 1993 and 1994 with options to
renew for fiscal years ending June 30, 1995, 1996, and 1997. (Doc. T94-067)
The next item on the agenda was discussion of the Joint Report of the Office of the State
Auditor and Office of the State Comptroller on the Commonwealth Subsidy to the UMASS
Worcester Medical Center . President Hooker said that in response to continued concerns from
the Chairmen of the House and Senate Ways and Means Committees, he is recommending that
another review be conducted. The State Auditor was not able to provide the detail that was
missing without contracting with an outside expert consultant. The University will pay for the
review and will work jointly with the staff of Senate Ways and Means to write the RFP in order to
ensure that whatever outside firm is engaged, their concerns will be addressed. Chair Haynes
indicated that the report provides excellent financial information on the Medical Center and
requested that it be sent to the entire Board.
The next discussion item was Policy Drafts on Mobile Telecommunications Devices and
Individual Transaction Funds Control . Mr. Wolcott indicated that the drafts have come to the
Committee before and had also been considered by the campuses, thus they are presented as
revised drafts. He hopes to have final versions at the next meeting which would then be brought
to the Committee on Administration and Finance. Discussion followed regarding the differing
needs of each campus and whether or not the need for this as a central policy is necessary. The
policy would be standard for each campus, while the procedures would differ. Mr. Wolcott
reiterated the importance of this policy as being a means for insuring legitimacy of use and
widespread understanding of policies and procedures for usage of portable telephones and credit
cards, and is not intended to force conformance of distribution of these items, purchasing
procedures or unnecessary procurement control by the Board. Chair Haynes indicated that the
Director of Auditing should proceed with the policies and that they should be brought back to
this Committee.
The last discussion item on the agenda was the University Audit Status Report as of June 24,
1994 . Mr. Wolcott identified the various audits that his office is currently working on. He
indicated that the three year audit plan is nearly compiled and urged the Trustees and the
President, Chancellors and Vice Chancellors to make any audit requests for that plan. The final
plan will be brought forward for approval by this Committee at the next meeting.
Mr. Wolcott then noted that the informational item, President's Office Policy and Procedure
Manual is currently being finalized.
Chair Haynes then made a motion to ge into Executive Session to discuss possible charges of
criminal misconduct or complaints and stated that the Committee would not reconvene in open
session. It was moved, seconded and
-3-
VOTED : To enter Executive Session.
The time was 9:50 a.m. Chair Haynes voted for the motion as did Trustee Poduska. The
meeting adjourned at 10:15 a.m.
u
Elizabeth H. Tuthill
Assistant Vice President, Board Relations
-4-
»
UNIVERSITY OF MASSACHUSETTS
AMHERST •BOSTON -DARTMOUTH • LOWELL • WORCESTER
MINUTES OF THE MEETING OF THE
AUDIT COMMITTEE
Monday, August 29, 1994; 8:30 a.m.
18 Tremont Street - Suite 800
Knapp Room
Boston, Massachusetts
Committee and Committee Staff : Chair Haynes; Ms. DeVico, Staff Assistant
Committee Members Absent : Trustees Lizana, O'Leary and Poduska
University Administration : President Hooker; Vice President Lenhardt; First Associate Counsel Bench;
Mr. Wolcott, Director of Auditing; Vice Chancellors Page, Dars and Goodwin; Deputy Chancellor
Stanton; Mr. Edwards, Grants and Contracts, UMASS Boston; Ms. Wanczyk, University Controller
Guests : Mr. Gabranski, Mr. McBride, Mr. Ingram, Mr. Paglia, Coopers & Lybrand
Chair Haynes convened the meeting at 8:30 a.m. and introduced the first item, a presentation by
representatives from Coopers & Lybrand, University General Purpose Financial Audit for Fiscal Year
ended Jun e 30. 1994 and University A-133 Audit for the State Single Audit for Fiscal Year ended June
30, 1994 . Mr. Gabranski distributed an Audit Scope and Approach Report which outlined the 1994 audit
approach. Mr. Gabranski's detailed presentation included descriptions of the purposes and approaches
to be used for the University and A-133 Audits. Mr. Gabranski also covered current accounting issues
and potential impact on the University.
Representatives from Coopers and Lybrand then departed.
The Audit Committee then discussed the University Senior Director for Auditing's request for
concurrence with the recommendation to select the firm of Coopers & Lybrand to perform the University
A-133 audit for FY94, based on the existing contract with Coopers & Lybrand for the University General
Purpose Financial Audit, which has been extended by option to cover FY94. The Auditing Director noted
that the timing of the State's decision to have the University handle the A-133 audit for FY94 left no time
to submit the audit to competitive bids, since a report is due in December. After an extensive discussion
of the A-133 audit, the University's General Purpose Financial Audit and the process of selecting audit
firms, the Committee voted to concur with the recommendation. Chair Haynes noted his intention to
require a competitive bid process for the FY95 work.
It was moved, seconded and
VOTED : To concur with the recommendation of the University Senior Director for Auditing to
select the firm of Coopers & Lybrand to perform the University A-133 Audit for FY1994.
(Doc. T94-083)
And further,
To approve the method of charging the costs to the campuses for said audit.
Mr. Wolcott then briefly described the next agenda items, Policies on Mobile Telecommunications
Device and Individual Transaction Funds Control . These policies had been reviewed by the campuses
and modified as needed. It was moved, seconded and
VOTED : To recommend that the Committee on Administration and Finance approve the Policy on
Mobile Telecommunications Device as listed in Doc. T94-030.
And further,
To approve the Policy on Individual Transaction Funds Control as listed in Doc. T94-031.
The next item was approval of the University Auditor's Audit Plan for FY95-FY97 . Mr. Wolcott then
reported on objectives in the plan such as
•evaluating the University's major systems of internal control;
•assisting the University's management and Trustees by providing evaluations pertaining to areas
of concern;
•having all major non-state funds audited at appropriate intervals or at least every five to seven
years to verify compliance with policies and procedures and to evaluate efficiency and effectiveness
of operations;
•provide external audit coordination and support in order to assure that audits are conducted by
external auditors:
—proceed according to University policy;
—avoid duplication of effort and maximize audit coverage, and
—ensure that results are appropriately reported and acted upon.
Mr. Wolcott also reported that there is now a dedicated audit function located at the Medical Center
with a senior auditor on board.
As part of that process, there is an audit plan for the Medical Center gathering audit plans from peer
institutions, analyzing them and drafting a proposal plan for the Medical Center. The biggest single area
of the Medical Center is system conversion billing and receivables. Chair Haynes then requested a report
be prepared outlining this project.
It was moved, seconded and
VOTED : To approve the University Auditor's Plan for Fiscal Years 1995, 1996 and 1997. (Doc. T94-
082)
Mr. Wolcott then presented the Auditing Status Report as of August 12, 1994 including University
Auditing Operations Summary for Fiscal Year ended June 30. 1994 .
The Committee adjourned at 9:50 a.m.
OxyJffA^ (WOAj
Barbara DeVico
Staff Assistant
I
•
UNIVERSITY OF MASSACHUSETTS
AMHERST 'BOSTON • DARTMOUTH • LOWELL • WORCESTER
MINUTES OF THE MEETING OF THE
COMMITTEE ON EXTERNAL AFFAIRS
Tuesday, October 18, 1994; 8:00 a.m.
Board Room
University of Massachusetts President's Office
Boston, Massachusetts
Committee and Committee Staff : Chair Karam; Trustees Finnerty, Flores, Hoff, Morrissey, O'Leary,
Taylor; Vice President/Secretary to the Board Boyd; Ms. Farrell, Assistant Vice President for Board
Relations
Committee Members Absent : Trustees Foley, Haynes, Lewenberg, Reed, Spence
University Administration : President Hooker; Chancellors Cressy, Hogan, Lazare, Penney, and Scott;
General Counsel Kirby; Associate Vice President Lemanski
Guests: Ms. Griesemer, Deputy Director, Donahue Institute; Mr. Manley, Director, UMASS Economic
Project.
Chair Karam convened the meeting at 8:10 a.m. The first item on the agenda was the Academy for
New Legislators . Vice President Boyd noted that the Academy will be held on the Amherst campus
November 17-19, and further asked Lynn Griesemer to provide a more detailed report for the Committee.
Ms. Griesemer noted that this is the first time that the University has had the opportunity to host the
Academy which is designed jointly with the Legislative Services Bureau, and will help forge relationships
with new legislators.
The next item on the agenda was the UMASS Economic Project . Richard Manley is heading up this
newly created office, and provided an informational update to the Committee, including the
development of the Project's Board and their efforts to supplement the state's funding for the Project.
Chair Taylor noted the importance of developing a strategic plan and Mr. Manley said that the advisory
board will be establishing guidelines.
The next iten on the agenda was the Update on Student Lobbying . Vice President Kirby informed
the Committee that the University would be working closely with the Secretary of State and Vice
Chancellors for Student Affairs to ensure that any student lobbying activities would be within legal
guidelines.
The next item on the agenda was the 1995 Legislative Packag e. Vice President Kirby briefly
reviewed the legislation that is proposed, identifying the three most important as being the Foundation
Bill, the Worcester City Campus Corporation amendment, and the Building Authority Merger. Though
the legislative package is not formally approved by the Trustees, Trustees should be kept fully informed
as to effectively support those critical pieces of legislation. Associate Vice President Lemanski provided
information on the chronology of the filing of bills as well as strategic directives that are taken to ensure
the passage of a particularly important bill. Trustee Karam further requested that the President's Office
prioritize these items and identify a presentation strategy for this Committee at future meetings.
The next item on the agenda was the FY96 State Budget Request . President Hooker reviewed the
approach that had been taken for the FY95 budget which proved to be highly successful, noting that this
year's strategy ought to resemble that approach, particularly with the involvement and leadership of this
Committee. This year's budget strategy, President Hooker said, will be more difficult given the state's
fiscal outlook, competing state programs, the University's successful budgets over the past two years, and
the collective bargaining contracts /salary packages. President Hooker further reminded the Committee
that the budget that will be submitted to HECC on October 21 is the preliminary request and does not
necessarily reflect the request that will be made of the Governor or legislature; the proposed
recommendation to the HECC will be in the area of a $20 million increase which reflects the low-end of
the Fair Share Funding Task Force recommendation.
Extensive discussion was held regarding the overall strategy, the possibility of making major changes
in how the University presents its budget needs, and the importance of providing an appropriate level of
expectation for all members of the UMASS community and citizens of the Commonwealth. Also
discussed were some of the structural impediments that the University faces. The University has looked
closely at making critical adjustments to its structure, making staff and program cuts, and continues to
look at how to continue to restructure with the PEW Roundtable discussions. The Committee also
discussed the importance of merging the strategic planning processes with the budget strategy and
resource analysis.
It was discussed and proposed that the Chancellors work on significant percentage reallocation in the
budget/ planning process and have subsequent meetings with the President and the Trustees to identify
their conclusions. A particularly important strategy to explore is early retirement for University
employees.
It was concluded that the first steps for the FY96 budget have been effectively discussed, and, bearing
in mind the need to keep all groups on the campuses—students, faculty and staff-involved in the process,
the President and administration should move ahead with the budget request and take up several of the
suggestions as made and offered by the Committee.
There being no further business to come before the Committee, the meeting adjourned at 10:00 a.m.
Elizabeth H. Tuthill Farrell
Assistant Vice President for Board Relations
-2-
UNIVERSITY OF MASSACHUSETTS
AMHERST 'BOSTON • DARTMOUTH • LOWELL • WORCESTER
MINUTES OF THE MEETING OF THE
AUDIT COMMITTEE
Tuesday, November 15, 1994; 8:30 a.m.
18 Tremont Street - Suite 800
Knapp Room
Boston, Massachusetts
Committee and Committee Staff : Chair Haynes; Trustees Lizana and Poduska; Ms. Farrell, Assistant
Vice President for Board Relations
Committee Members Absent : Trustee O'Leary
University Administration : President Hooker; Vice President Lenhardt; General Counsel Kirby; Mr.
Wolcott, Director of Auditing; Vice Chancellors Page, Dars, MacCormack and Goodwin; Deputy
Chancellor Stanton; Ms. Wanczyk, University Controller
Guests : Mr. Gabranski, Coopers & Lybrand; Mr. Elam, Ernst & Young
Chair Haynes convened the meeting at 8:35 a.m. and introduced the first item under External Audit
Reports, the University of Massachusetts Audited Financial Statements for FY94 . Mr. Gabranski noted
that Coopers gave the audit an unqualified opinion. Mr. Gabranski then reviewed in detail the essential
highlights of the balance sheet. Ms. Wanczyk reviewed the operating statements and indicated that the
University, for the first time, had an actual deficit of $12 million. Chair Haynes indicated concern for both
the Amherst and Dartmouth campuses fiscal situation asking if it were possible to have more regular
reports to keep the Trustees better informed and knowledgeable of campus spending plans. President
Hooker indicated that his office had requested spending plans from the campuses. Ms. Wanczyk offered
an analysis on the interim quarterly reports from each campus, noting that the campuses are all at 25% of
budget. Further, the issue of the University's decentralized budgeting system, the adequacy of the fiscal
controls, and responsible spending was discussed. The trend analysis over the fiscal years 92-94 was also
reviewed. Chair Haynes reiterated the importance of the discussion regarding budgets, the University's
direction and policies and reporting procedures relative to each campus' situation, particularly with the
Administration and Finance Committee. Mr. Gabranski then reviewed the Required Letter of
Communication. It was moved, seconded and
VOTED : To recommend that the Committee on Administration and Finance approve the
University of Massachusetts Audited Financial Statements, FY94 (Doc. T94-113).
Ms. Wanczyk thanked the financial staff members from the campuses for finishing their reports
ahead of schedule and on time, particularly given the increased sophisticated reporting procedures.
Chair Haynes commended the staffs.
Representatives from Coopers and Lybrand then departed.
The Audit Committee then heard from Mr. Robert Elam from Ernst & Young, reporting on the
UMASS Worcester clinical activity financial statements, and began by noting particular items on the
Required Letter of Communications. Mr. Elam then reviewed in extensive detail the Teaching Hospital
Trust Fund. FY94 Audited Financial Statements . Group Practice Flan. FY94 Audited Financial
Statements , and Self-Insurance Trust, FY94 Audited Financial Statements . Highlights from each report
were discussed. Mr. Stanton indicated that the first meeting of the new Clinical Management Board is on
Thursday, November 17. It was moved, seconded and
VOTED : To recommend that the Board accept the following Audit Reports on the Board Consent
Agenda:
• Teaching Hospital Trust Fund, FY94 Audited Financial Statements (Doc. T94-105)
• Group Practice Plan, FY94 Audited Financial Statements (Doc. T94-106)
• Self-Insurance Trust, FY94 Audited Financial Statements (Doc. T94-107)
The next item was approval of the University Auditor's Audit Report, State Single Audit Follow-
up. IJMASS Dartmouth and UMASS Lowell . Mr. Wolcott then reported that the Lowell and Dartmouth
campuses had taken all recommended corrective actions in response to the state single audit, and that the
Auditor's Office has received extensive information backing these actions.
It was moved, seconded and
VOTED : To recommend that the Board accept the following Audit Report on the Board Consent
Agenda:
University Auditor's Audit Report, State Single Audit Follow-Up, UMASS Dartmouth
and UMASS Lowell Agenda. (Doc. T94-109).
Mr. Wolcott then presented the University Audit Status as of October 28, 1994 . Chair Haynes
indicated concern on behalf of the Committee regarding the works in progress, and the staffing needs of
the office for priority items. Mr. Wolcott indicated that there are several critical areas that the office is
currently focusing on.
Chair Haynes reasserted his interest in having interim reports from the campuses that indicate
economic distress and deficit situations, and the need to present it as a policy issue to the Committee on
Administration and Finance.
The Committee adjourned at 10:30 a.m.
Elizabeth H. Tuthill Farrell
Assistant Vice President, Board Relations
-2-
♦
UNIVERSITY OF MASSACHUSETTS
AMHERST • B OSTON •DARTMOUTH • LOWELL • WORCESTER
MINUTES OF THE MEETING OF THE
COMMITTEE ON EXTERNAL AFFAIRS
Thursday, December 22, 1994; 7:30 a.m.
Rare Books Room
University of Massachusetts Medical School
Worcester, Massachusetts
Committee and Committee Staff : Chair Karam; Trustees Flores, Foley, Lewenberg, Spence; Chair Taylor;
Vice President/Secretary to the Board Boyd; Ms. Farrell, Assistant Vice President for Board Relations
Committee Members Absent : Trustees Hoff, Haynes, Morrissey, O'Leary, Reed
University Administration : President Hooker; Chancellors Scott, Penney, Hogan and Lazare; Vice
President Lenhardt; Vice President Chmura; Associate Vice President Lemanski
Chair Karam convened the meeting at 7:40 a.m. The first item for discussion was the FY1996 State
Budg et. President Hooker informed the Committee of communications with the Executive Offices.
Further discussion regarding strategy for preparing the state budget was held. The President indicated
that he would work with his staff and the Chancellors to present a strategy to this Committee.
The meeting adjourned at 9:10 a.m.
£uivtiiia^^
Elizabeth H. Tu thill Farrell
Assistant Vice President for Board Relations
♦
D
♦
•
w
UNIVERSITY OF MASSACHUSETTS
AMHERST • BOSTON • DARTMOUTH • LOWELL • WORCESTER
MINUTES OF THE MEETING OF THE
EXECUTIVE COMMITTEE
Tuesday, February 1, 1994; 3:30 pan.
Chancellor's Conference Room
Quinn Administration Building
University of Massachusetts
Boston, Massachusetts
Committee and Comm ittee Staff: Chair Taylor; Trustees Finnerty, Foley, Haynes, Karam, Lewenberg,
McNeil, Spence and Tobin; Mrs. Fontaine, Secretary to the Board
Committee Members Absent : Trustees DiCara and Robertson
Other Trustees : Trustees Cunningham, Flores, Hoff, Oakes, Siegmann and Poduska
University Administration : President Hooker; Vice Presidents Boyd, Chmura, Lenhardt, Sessoms and
Story; General Counsel Kirby; Chancellors Scott, Penney, Cressy, Hogan and Lazare
Chair Taylor convened the meeting at 3:45 p.m. Before proceeding with the formal agenda, the Chair
called on Chancellor Penney to update the Board on the current situation at the Boston campus.
Chancellor Penney first thanked Chair Taylor and President Hooker for spending the day before at
the campus with the consultants, staff from the Department of Health and Hospitals and the Fire
Department reviewing the best way to proceed with the reopening of the campus that has been closed
due to health complaints by staff and faculty members.
She then reported the following:
•Based on monitoring results by Arthur Little and Briggs Associations, the faculty and staff may re-
occupy the campus buildings tomorrow;
•An industrial hygienist will be on-site during occupation by faculty and staff to monitor the
situation;
•Boston Emergency Medical Services will maintain a staff person on-site for at least two days and
with UMASS Boston health care providers will monitor the type and frequency of any health complaints;
•The Boston Fire Department will maintain personnel on-site to monitor and evaluate any
complaints. The campus shall vacate any building upon receiving an order to vacate from the Fire
Department, the Office of Environmental Health, or Emergency Medical Services;
•UMASS Boston will remove a couch and stripping chemicals from the College Supply room.
•The campus will submit a written preliminary report of results and analysis to date and its proposal
evaluating the landfill gas, sewage gas, and HVAC Control systems;
•Upon review of the requested report, receipt of analyses results, and review of the results of re-
occupancy by faculty and staff, a determination will be made regarding re-occupation of students.
Chancellor Penney then informed the Committee that there will be a phased re-opening to ensure
that faculty and staff are fully informed about all the incidents and plan for a full opening with students
on Monday depending on further discussions with the Department of Health and Hospitals. She also
acknowledged the Chairman and President's authorization of $150,000 from Trustee Reserve for
additional studies and testing.
Vice Chancellor MacCormack then introduced the consultants from Arthur D. Little and Briggs
Associates and talked about the tests that had been conducted throughout the campus that had not
shown any contaminants beyond the normal range. There were three areas in the Administration
building that had incidents and shown higher level of contaminates. It was discovered that an employee
had been refinishing a piece of furniture in an unauthorized area under a vent which was consistent with
the chemicals found there. The other buildings had not yet had identified foreign substances but were
still being tested. The consultants also looked at the possibility of gas from land fill the campus had been
built on.
There was then discussion with members of the Committee and faculty members concerning
assurances that the campus will not fully open until all tests and analysis's have been completed. It was
suggested that the air quality on campus continue to be tested in the future as there have always been
problems reported on campus concerning ventilation.
The next item was the Hospital Management Board Minutes . Trustee Foley reported that the
Hospital Management Board has implemented a policy review all contracts over $100,000. It was moved,
seconded and
VOTED : To recommend that the Board approve the minutes of the November 17, 1993 Hospital
Management Board meeting including the Unaudited Financial Statement for October,
1993. (Doc. T94-022)
President Hooker then asked the Chancellors to report on their Fundraising activities.
Chancellor Scott reported that the Amherst campus has exceeded the national average in the past few
years and that total private support over the last five years increased by 50%. For fiscal year 1994, the
private support goal was $14.5 million. The formal beginning of a capital campaign will begin next week
with meetings of Deans, Vice Chancellors and the consultant firm to ask the major budgetary units to
identify their priorities in the capital campaign. In preparation for that comprehensive capital campaign,
several initiatives have been tuned up, one in polymer science and engineering which has an $8 million
goal and another one in food science, which has a $1 million goal. There are also plans for a new alumni
center. Also, in the last two years the number of alumni clubs has doubled and the plan is to double these
again to total thirty-four alumni clubs in all.
Trustee Oakes inquired about the per capita giving from alumni and how it compares to other
comparable universities. Chancellor Scott reported that approximately $30 and $100 is the present rule of
thumb. It was pointed out that there needs to be more ambitious goals. Chancellor Scott responded that
the campus will be meeting with Alumni groups all over the country to increase the numbers. The issue
of staffing and funding was brought up and it was pointed out that staffing is at one-half of what
universities of this type would be to run a capital campaign.
There was then discussion regarding the capital campaign for Hadley farm. It is now being
reassessed and will be built into the current capital campaign.
There was then an inquiry about the impact the athletic programs had on fundraising, particularly
the basketball program. In Amherst, given the enthusiasm generated across the Commonwealth and the
country with the basketball program it will have a significant affect, particularly in athletics.
-2-
•
Vice Chair Karam then reported that this subject will be an agenda item on a regular basis on the
External Affairs Committee.
Trustee Oakes reiterated that this is a very important topic and that 4 to 5 years ago, the University
spent alot of money mounting a capital campaign.
Chancellor Cressy spoke about the strong alumni and faculty participation in development at
UMASS Dartmouth. For the past three years the annual fund has raised $173,000 on average, per year.
He went on to inform the Committee that his highest priority upon taking office was to restructure the
development office, with two major grants in place. The Dartmouth campus has made considerable
progress in new scholarship grants and are using the opportunity of the upcoming Centennial to make
initial contact with possible donors and have identified a possible $1 million donor. The campus is also in
contact with a major textile association which has taken on the goal of raising $2 million over the next
couple of years.
Chancellor Hogan began his report with information about the annual operating fund which starts in
the Fall. Four years ago this brought in a return of 1/4 million and last year the figure was about 1/2
million dollars. The total investment in the development office is about $750 thousand dollars. The
Centennial will start, with two events planned over a two year period, one is a centennial scholarship
fund to raise $2 million for scholarly activity. The first commitment of $100,000 came today. Also tied to
the celebration will be a capital equipment campaign targeted at $15 million, with hopes to build new
classrooms to impact quality of teaching and modernizing the libraries .
He also spoke of the decision to build a new arena and whether it is built with the city or on our own
The campus will conduct a campaign to increase amenities in the building, above what we can afford on
borrowed money.
Chancellor Lazare reported that total giving over the past several years has risen steadily in particular
to the Children's Medical Center and the Cancer Center.
Chancellor Penney distributed a report and briefed the Committee on the campus' efforts to work
with alumni in fundraising projects. Money has been raised to have discretionary funds put in place for
development programs to give grants to faculty and staff for research projects. There was also talk of
reviving an alumni newsletter but in the mean time, the Chancellor has sent out a letter to alumni each
semester.
The next item on the agenda was an Update on Strategic Planning . Vice President Boyd, who is
coordinating the strategic planning effort, reported that there are many strategic planning activities in
progress, including the work of the task forces and the report card to the Legislature.
He then informed the Committee that he will be meeting with campus chancellors to engage in the
process of a plan. Major elements of such a plan should have a statement of the University's broad level
of vision of what the 21st century university will be and defined mission, goals and objectives, and plans
to achieve and respond to the three priorities identified. One of the keys to the future of the University is
in the area of greater private sector support. This needs to be incorporated into the plan as well as
addressing the role continuing education has in the University and similarly the use of technology in the
University.
There was then discussion concerning the availability of resources needed to implement the goals and
objectives of the strategic plans on each of the campuses. It was suggested that the Chancellors plan like
there will be no increases in the next five years.
-3-
Chair Taylor added that the challenge is to plan for what we know we can do and not lose the
opportunity to generate more funds. It is believed that the plan and the process will show the University
how to do that.
Due to the lateness of the day, President Hooker suggested the Committee hear the campus' reports
as to where they are with respect to their individual campus priorities at the next meeting.
The last item on the agenda was Executive Session . Chair Taylor called for a motion to go into
executive session to consider the purchase, exchange, lease and value of real property. At 5:25 p.m., it
was moved, seconded and
VOTED : To go into Executive Session.
Chair Taylor voted for the motion as did Trustees Finnerty, Foley, Haynes, Karam, Lewenberg,
McNeil, Spence and Tobin.
The meeting adjourned at 6:15 p.m.
feaJWUAC^ ^l^toif
Barbara DeVico
Staff Assistant
I
I
i
UNIVERSITY OF MASSACHUSETTS
AMHERST • BOSTON • DARTMOUTH • LOWELL • WORCESTER
MINUTES OF THE MEETING OF THE
EXECUTIVE COMMITTEE
Tuesday, April 5, 1994; 3:00 pan.
Board Room
University of Massachusetts
Old Westport Road
Boston, Massachusetts
Committee and Committee Staff : Chair Taylor; Trustees DiCara, Finnerty, Foley, Haynes, Lewenberg,
McNeil, Poduska, Spence and Tobin; Mrs. Fontaine, Secretary to the Board
Committee Members Absent : Trustees Karam and Robertson
University Administration : President Hooker; Chancellors Scott, Penney, Cressy, Hogan and Lazare;
Vice Presidents Boyd, Chmura, Lenhardt, Sessoms and Story; Ms. Kirby, General Counsel
The meeting convened at 3:10 p.m. The first item on the agenda was Amendments to the By-Laws .
Chair Taylor reported that these amendments include a Consent Agenda for the Board meeting and an
amendment to the agenda of Committee meetings to allow public participation. Each Committee, as a
standing final item on its agenda, would have a segment of fifteen minutes at which time anyone who
had requested to speak to the Committee could do so for no more than three minutes.
After discussion the motion was amended in Article III, Section 4, (b). An individual speaker is
allowed, at the pleasure of the Chair, It was moved, seconded and
VOTED : To recommend that the Board approve the following amendments to the By-Laws of the
Board of Trustees of the University of Massachusetts (Doc. T91-100):
Article II, Meetings of the Board, is hereby amended by inserting after Section 3 the
following:
Section 4. Consent Agenda
By a vote of a majority of Trustees present at any Committee meeting, action item(s) may
be placed on a consent agenda for regular Board meetings. Any item so designated as a
consent agenda item by the Committee shall be so designated in the agenda of a regular
Board meeting mailed to the Board of Trustees. Unless any member objects to the
inclusion of an item on the consent agenda by notifying the President at least twenty-four
hours before the Board meeting, all items designated as a consent agenda item in the
agenda shall be included in the consent agenda for approval by a single vote by the
Board of Trustees without discussion of individual items.
Article III, Committees of the Board, is hereby amended by inserting after subsection (a)
the following:
Section 4
(b) Each Committee, as a standing agenda item, shall reserve fifteen (15) minutes for
public participation. Individuals seeking to speak to a Committee should so inform the
Trustees' Office in writing, setting forth the purpose for which they seek to speak, at least
twenty-four (24) hours before the relevant meeting. Generally, the subject should be
related to an item on the meeting agenda. An individual speaker is allowed, at the
pleasure of the Chair, a maximum of three (3) minutes for his/her presentation which
may be supplemented by written material.
The next item was a discussion on Strategic Planning . Chancellor Hogan began his report discussing
the Lowell campus's process of reorganizing the operating structure. When completed, there will be three
Councils for each of the three strategic priorities: 1) Council for Industrial Development; 2) Council for
Teaching and Learning; and 3) Council for Diversity and Multiculturalism. Each Council will have a
faculty/staff oriented organization. The Council for Industrial Development was the first to be formed
and has been operating for about one year. The other two Councils will be completed by this semester
and functioning by next semester.
He then reported that the System Task Force on Diversity and Pluralism will be presenting its report
in four parts. The first three parts are focused on a strategy which will simultaneously improve civility
on the campuses, engage campuses in a long-term commitment to Diversity and changing for the better.
The fourth and last part of the report develops a strategy for uniting the University and the larger
community by focusing on public concerns in K-12 public education, economic well-being and adult or
Life-Long Learning/Training/Retraining.
Chancellor Cressy began his report with the System Task Force on Teaching and Learning. The most
important function has been the business of reaffirming that teaching and learning is fundamental for
Commonwealth students and emphasizing the importance of the new technology. He also discussed the
University/Community partnerships with K-12 and the economic impact on education.
He then discussed strategic planning at UMASS Dartmouth which includes seeking support to
implement recommendations from the 1993 Report on the Academic Planning Task Force which included
increasing graduate enrollments by 20% per year, and strengthening the role in preparation and
professional development through programs to meet new state teacher certification standards.
Chancellor Scott discussed the report of the System Task Force on Faculty Roles and Rewards that
must steer in the direction that emerges from the other five system task forces, such as the quality of three
areas of the mission, Teaching, Research and Services. Emphasis should also be placed on scholarship in
all three areas. The criteria for promotion and tenure should be reviewed on each campus and the idea of
rewarding departments as well as individuals is gaining support.
Regarding the Amherst campus strategic plan, there were a series of task forces and working groups
set-up to mirror the six task forces on the system level. These task forces and working groups are
assessing demands on the campus by constituents, assessing capacity of the campus to meet those
demands and planning strategic directions that will indicate the opportunities to pursue and the
vulnerabilities the campus will move to overcome. A resource plan will also be established consistent
with the campus's strategic directions.
Chancellor Penney then discussed recommendations for making UMASS a leader in economic
development as part of her System Task Force Report. She also reported that a calendar for review of
policies, legal and organizational obstacles to economic development is being developed and will also
include issues such as faculty rewards, policies affecting industrial relations and better policies for
technology transfers.
Chancellor Penney next reported on strategic priorities for UMASS Boston. The Center for
Improvement of Teaching continues to sponsor seminars to promote pedagogical teaching techniques.
There has also been $15,000 provided for three $5,000 grants to support projects directed to improving the
quality of undergraduate education. A Civility Committee has been formed to respond to incidents on
the campus and an urban cabinet has been established to sustain linkages with an array of urban
constituents.
-2-
♦
I
♦
Chancellor Lazare reported on the System Task Force in Public Service. This Task Force has come up
with four primary objectives: 1) to enhance the public good and the quality of life in our communities; 2)
to serve as a moral example for students, faculty and staff; 3) to inform and define the academic mission;
and 4) to enhance public support for the University. He discussed these different categories of public
service and several recommendations, including the elevating of public service as a major goal of the
University.
He then reported that a strategic planning report for research at UMASS Worcester had been
completed on September of 1991. During the past year, the three recommendations of that plan have
been achieved, including the creation of the position of Vice Chancellor for Research, the establishment of
a technology transfer office and a new office of development. There has also been a change in the clinical
governance in the Medial Center which is now in the execution phase. A strategic planning process for
diversity is also in process and measurements for success will be the increase in underrepresented
minorities at the student, staff and faculty level.
Vice President Story then reported on the System Task Force on Research Graduate Education which
has completed its work and is being looked at on the campus level. Several recommendations were
identified including full-time tenure- track faculty should be engaged in creation and dissemination of
new knowledge to original research and scholarship, and that deans and provosts should explore
methods of rewarding outstanding research programs and departments. The Task Force also
recommended a pro-active presence in Washington D.C., full implementation of the five campus library
technology proposal, and the establishment of a special task force with full faculty participation to study
and make recommendations on University policy regarding a whole series of issues concerning electronic
information.
The Faculty Representatives then gave their views on the Task Force Reports.
Vice President Boyd then reported that the next phase will be discussion of measurable goals and
indicators which will be available at the next meeting. The next step will be the creation of a working
group to look at the goals to see if we can develop a common format of issues we should be working on.
There was then a general discussion about how economic development directly involves the
functioning of the University.
Chair Taylor then asked President Hooker to bring the Committee up to date on Chancellor Penney's
Evaluation . President Hooker reported that though the process had not been met favorably, he was
pleased with the amount of input and had spoken with Chancellor Penney about areas for improvement.
Professor Watanabe, the faculty representative from Boston then reported that the faculty, through its
governance bodies, passed a motion stating that the process had been flawed and there should have been
an alternative process. He said further that the faculty council is in the process of sending a questionnaire
to all faculty members following Trustee guidelines asking the faculty to rate the Chancellor and will be
presented to the Board at a later date.
Chair Taylor then reported that Trustee Bok has agreed to serve as a liaison between the President's
Office and the Trustees studying the many issues facing UMASS Lowell.
The next item was A pproval of the Hospital Management Board Minutes . It was moved, seconded
and
VOTED : To recommend that the Board approve the minutes of the December 16, 1993 and January
26, 1994, Hospital Management Board meetings including the Unaudited Financial
Statements for November and December, 1993, and the proposed appointments and
reappointments for November, 1993.
-3-
And further,
To approve the Finance Committee's recommendation that the Policy for Consultant
Contracts require Administration to inform the Finance Committee and Board of
contracts for professional services exceeding $100,000. This requirement is an annexation
of the Trustee policy Document T92-031, entitled "Policy for Management of University
Funds" as it pertains to the Teaching Hospital. (Doc. T94-043)
The next item was a Delegation of Authority to Laslo Boyd, Vice President for University Relations
and Secretary to the Board, as Certifying Officer of the University . It was moved, seconded and
VOTED : To recommend that the Board appoint Laslo Boyd, Vice President for University
Relations and Secretary to the Board of Trustees, Certifying Officer of the University;
further, to appoint Elizabeth Tuthill, Assistant Vice President for Board Relations, as
Certifying Officer in the absence of the Vice President/Secretary. (Doc. T94-044)
The next item was a Delegation of Authority to the Committee on Personnel and Diversity . As part
of Trustee policy, certain faculty within the University have a right to seek a hearing with the Board. The
General Counsel is in the process of updating this policy allowing the President and his staff to decide if
certain personnel issues need to come before the Board. In the meantime, these matters need to be
reported to the Board.
Chair Taylor therefore appointed an Ad Hoc Committee on Personnel and Diversity, Chaired by
Trustee Reed to look at such matters until a policy is written which will report to the Committee on
Administration and Finance. He also mentioned that a personnel case may be coming to the Board and
this Committee would deal with that case. It was moved, seconded and
VOTED : To recommend that the Board delegate to the Ad Hoc Committee on Personnel and
Diversity the authority to conduct hearings, make findings and decisions, and, where
appropriate, to make recommendations to the full Board regarding terminations,
suspensions, or other individual personnel actions whenever a hearing by the Board of
Trustees or a committee thereof is required by Board policy or by law.
Chair Taylor then called for a motion to enter Executive Session to discuss Honorary Degrees and
Collective Bargaining issues. It was moved, seconded and
VOTED : To enter Executive Session.
The time was 5:00 p.m. Chair Taylor voted for the motion as did Trustees DiCara, Finnerty, Foley,
Haynes, Lewenberg, McNeil and Spence.
At 6:00 p.m. the Committee came out of Executive Session and it was moved, seconded and
VOTED : To recommend that the Board award honorary degrees to those individuals agreed upon
in Executive Session and to instruct the Chancellors to proceed with the necessary
arrangements.
And further,
VOTED : To table consideration of the Workforce Redesign Policy and to consider it
after review and recommendation by the Committee on Administration and
Finance.
-4-
f Trustee Siegmann then asked that President Hooker come to the Boston campus and talk to the
students about lobbvincr lfKrislators rp^ardirny the Budcrpf.
students about lobbying legislators regarding the Budget.
The meeting adjourned at 6:15 p.m.
r
Barbara DeVico
Staff Assistant
I
UNIVERSITY OF MASSACHUSETTS
AMHERST -BOSTON • DARTMOUTH • LOWELL • WORCESTER
MINUTES OF THE MEETING OF THE
EXECUTIVE COMMITTEE
Tuesday, June 7, 1994; 3:00 p.m.
Board Room
University of Massachusetts
18 Tremont Street, Suite 800
Boston, Massachusetts
Committee and Committee Staff : Chair Taylor; Trustees DiCara, Haynes, Lewenberg, McNeil, Poduska
and Tobin; Vice President/Secretary to the Board Boyd; Ms. Tuthill, Assistant Vice President for Board
Relations
Committee Members Absent : Trustees Finnerty, Foley, Karam, Robertson and Spence
University Administration : President Hooker; Chancellors Scott, Penney, Cressy, Hogan and Lazare;
Vice Presidents Chmura, Lenhardt and Sessoms; General Counsel Kirby
The meeting convened at 3:10 p.m. Trustee Reed gave the Report of the Personnel and Diversity
Subcommittee which had met today and on May 4th. The first item on the agenda was the Affirmative
Action Plans and Reporting Format . The Subcommittee had agreed that the Affirmative Action Plans
would come before the Board every three years with annual updates provided as outlined in the
document. The Committee had also discussed funding diversity initiatives across the campuses.
Trustee Reed also reported that at the next meeting of Personnel and Diversity, the Committee would
look in depth at the Amherst campus Affirmative Action Plan. Trustee Haynes then commended Trustee
Reed for her work in this area. There was discussion about the positive work being done on the
campuses in the area of diversity including the Diversity Conference held on the Amherst campus last
year. Trustee Siegmann then asked that in the future as Affirmative Action plans are reviewed, attention
should be given to the numbers of minorities and women in each academic department.
Chair Taylor mentioned the importance of such events as the Black Scholars of New England Dinner.
Trustee Reed stated that there was more work to be done and expects some recommendations concerning
these issues for the August meeting. It was moved, seconded and
VOTED : To recommend that the Board approve the Affirmative Action Plans for the University of
Massachusetts Amherst, Boston, Dartmouth, Lowell and Worcester campuses as contained
in Doc. T94-046.
And further,
To recommend that the Board approve the Affirmative Action Reporting Format as
described in Doc. T94-054.
The next item was Waiver of Student Trustee Election Policy. UMASS Worcester . The current
policy for Student Trustee elections states that the election must take place by May 1st. Due to the
schedule under which the Medical School functions, this year's election was held after that date.
Chancellor Lazare assured the Committee that future elections will be held in compliance with current
policy. It was moved, seconded and
VOTED : To recommend that the Board waive the Student Trustee Election Policy deadline date
listed in Doc. T91-133B at the University of Massachusetts Worcester campus for the 1994
election.
The next item was Amendments to the Worcester City Campus (WCCC) Articles of Organization .
These amendments will allow the Corporation to achieve tax-exempt status with the Internal Revenue
Service. It was moved, seconded and
VOTED : To recommend that the Board approve the amendments to the Worcester City Campus
Corporation (WCCC) Articles of Organization listed in Doc. T91-121, Addendum III.
The next item was A pproval of the Hospital Management Board Minutes . Chancellor Lazare
reported that alot of time is being spent monitoring the status of the Hospital, including discussions with
Mr. George McClelland, Chair of the Hospital Management Board Finance Committee.
Chair Taylor then inquired about the status of Personnel Policies on the Worcester campus. Deputy
Chancellor Stanton reported that they are able to operate under existing University policies. Trustee
Haynes then informed the Committee of the restructuring issues going on at Worcester and has requested
the Management Office to provide Board members with a concise executive summary of the issues for the
next meeting.
It was then moved, seconded and
VOTED : To recommend that the Board approve the minutes of the March 23rd and April 27th,
1994 Hospital Management Board meetings including the Unaudited Financial
Statements for January, February and March, 1994 and the appointments and
reappointments for February and March, 1994. (Doc. T94-066)
The next item for discussion was an Update on Strategic Planning, specifically in the area of Goals
and Indicators. Vice President Boyd reported that there are many planning activities going on at the
campuses at many different stages. He then described the strategic plan as the starting point for the
Board to discuss next Fall that will give specifics for policy choices and a frame of reference for the
direction of the University system.
Some of the issues that will need to be looked at as system-wide goals include telecommunications
and use of distance learning, the current tuition policy, resource alternatives and reallocations of funds.
Also discussed was the status of collaborative efforts among the campuses and the University's mission
and priorities.
After a request to the Faculty Representatives for their views of the subject, Chancellor Cressy
introduced the new Representative from UMASS Dartmouth, Professor John Carroll who emphasized the
need to make a better case with the Legislature and ensuring financial access to all potential students.
There was then discussion about the campus planning process and the need for some principles that
will allow the University to make decisions as far as reallocation of funds, the future and potential
restructuring of programs at each of the campuses, increasing the efficiency in educating our students
and increasing enrollments.
There was also a discussion of the importance of the University's marketing efforts which could help
to increase enrollments and public support for the University.
-2-
After the Committee members expressed their enthusiasm for action on the strategic plan in October,
the meeting adjourned at 5:00 p.m.
iWL-lfr
Barbara DeVico
Staff Assistant
-3-
UNIVERSITY OF MASSACHUSETTS
AMHERST -BOSTON • DARTMOUTH • LOWELL • WORCESTER
MINUTES OF THE JOINT MEETING OF THE
EXTERNAL AFFAIRS AND EXECUTIVE COMMITTEE
Tuesday, August 9, 1994; 3:00 p.m.
Board Room, Cumnock Hall
University of Massachusetts Lowell
Lowell, Massachusetts
Committee and Committee Staff : Chair Taylor; Trustees DiCara, Flores, Haynes, Hoff, Lewenberg,
Spence; Vice President/Secretary to the Board Boyd; Ms. Tuthill, Assistant Vice President for Board
Relations
Committee Members Absent : Trustees Finnerty and Foley
Other Trustees : Trustees Bogan, Bok, Lizana and Purdy
University Administration : President Hooker; Chancellors Scott, Penney, Cressy, Hogan and Lazare;
General Counsel Kirby
The meeting convened at 3:10 p.m. The first item for discussion under the External Affairs
Committee agenda was the FY1995 State Budget Update . President Hooker reported that the state
budget provided an increase of $15 million for the 1995 budget which was the result of the extensive
work of the External Affairs Committee, the administration, and the students. He then turned to the
UMASS Amherst SGA President Mirran Raphaely and student leader of SCERA, Lynn Robittaille. Both
students offered their perspective on the importance of their role in the effort to making the case for
UMASS to the legislature and described the strategy they used in working with their peers and the
University administration and Trustees to achieve a successful budget. Further, they hope to coordinate
their efforts with students from the other campuses to a greater extent for the next budget. President
Hooker went on to identify the results of the Fair Share Funding Task Force and to say that this is part of
the areas of consideration going into next year's budget strategy.
The next item was the Status of Development Programs . Chair Taylor asked Vice President Boyd to
introduce this item. Mr. Boyd reminded the Committee of the importance of development and noted
that each member had received the first university- wide report on development which took extensive
sharing of technology and research information. He further said that the Committee's area of focus
should be on particular fundraising goals, the purpose of raising funds, the timeline and the building of
the infrastructure. The intent is to provide quarterly reports to this Committee. Mr. Boyd then asked
each Chancellor to report on their development efforts over the past year, their goals for the coming year
and describe where their campus stands in terms of a heightened effort for fundraising that will be
implemented in the coming months. Each Chancellor briefly described their program, and Chair Taylor
requested that, in the interest of time, each campus briefly address each area of concern identified by Vice
President Boyd, and at upcoming meetings each campus could be looked at more in-depth. Each campus
identified particular goals in line with their campus plans, and all campuses noted that the need to build
their development staff is a critical part of gearing up for a major University campaign.
There was extensive discussion regarding specific details of the fundraising efforts, in particular the
involvement of faculty, staff and students. Vice President Boyd, in response to a question regarding
norms for faculty, student and trustee giving, said that he would get detailed information so that the
Trustees can compare the national norms with campus activity. Another very important area where the
campuses were urged to move expeditiously was the area of research so that pieces are in place for the
capital campaign. Vice President Boyd reiterated the importance of this information coming to this
Committee. He further noted that the UMASS Foundation had moved to 10 Tremont Street and
identified the two major goals for the Foundation as being a support resource for the campuses and
restructuring the Foundation Board to function as a fundraising board.
Vice President Tom Chmura then provided an Update on Economic Development by pointing out
the particular projects that have been of priority to the economic development offices. He further
announced that Richard Manley has started as the Director of the Massachusetts Economic Project which
was approved in the FY95 state budget and is underway. The other area that they are focusing on is
environmental technology and there will be a conference on this subject sponsored by UMASS and held
at the Lowell campus in October. Mr. Chmura announced that the office of technology transfer at
UMASS Worcester has been established with Joseph McGuirle as its director who has already made a
great start in that area. He then pointed out some of the areas in the Measurable Goals and Indicators
that are in the packets of information. Chair Taylor reiterated the importance of the goals and indicators
and that the quantifiable information is a very effective way for the Trustees to understand the trends.
Also critical is the specificity of the indicators and timelines.
General Counsel Kirby then discussed Technology Transfer project, noting that they are looking at
policies and the organizational structure as well as guidelines for the establishment of an office. The
Committee would have a full policy report for the December meeting after the draft policy is fully vetted
on the campuses. It was also suggested that other offices at universities that have established this type of
policy be used for consultation, which Ms. Kirby said they are currently doing.
Chair Taylor then suggested that, in the interest of time, the discussion item Update on Federal
Relations be reintroduced at a later meeting.
The first action item under the Executive Committee agenda was Amendments to the By-Laws .
Chair Taylor informed the Committee that these changes will bring the By-Laws in line with the current
practice of the Board, as well as clarify specific areas of activity for each Committee.
It was moved, seconded and
VOTED : To recommend that the Board approve the following amendments to the By-Laws of the
Board of Trustees of the University of Massachusetts (Doc. T91-100):
Article II, Meetings of the Board, is hereby amended by the following:
Section 2. Notice
(b) by striking the word three and inserting the word two.
Section 4. Consent Agenda
By striking the word Trustee in the first sentence and inserting the words Committee
members;
By striking the word member in the third sentence and inserting the word Trustee.
Section 6. Order of Business
By striking V. Committee of the whole and inserting the words Consent Agenda;
By striking VI. Reports of Special Committees;
By striking VII. Status of Pending Matters.
Section 7. Executive Sessions
(a) By striking the words in advance of the meeting in the second sentence and inserting
the words before the executive session.
-2-
Article III. Committees of the Board, is hereby amended by the following:
Section 2. Members of the Standing Committees
(c) By adding the word voting before member ex officio. . .
Section 3. Committee Meetings
(d) By striking the word Joint Meetings and inserting Assignment of Agenda Items/Joint
Meetings.
Section 4. Agenda of Committee Meetings.
By adding the word the in the fourth paragraph after the word By and before President.
Section 5. Responsibilities of Standing Committees
By striking said Section and replacing it with the following:
The Chair may appoint sub-committee(s) of any standing committee to assist the full
committee in carrying out its duties and responsibilities. Said sub-committees shall be
assigned to a full standing committee.
(a) The Executive Committee shall have the responsibility of considering, reviewing, and
making recommendations to the full Board on matters affecting the Board, the University
and its general administration including but not limited to:
i. appointment of the President and concurrence in the President's appointment of
Chancellors;
ii. honorary degree candidates;
iii. master plans of the University and recognition of governance bodies;
iv. any other matters which the Chair or the President with the approval of the
Chair wishes the committee to consider.
(b) The Committee on Academic and Student Affairs shall have the responsibility of
considering, reviewing and making recommendation to the full Board on matters
concerning academics and students at the University including but not limited to:
i. policies involving academic programs and research, including the quality,
character, and scope of instruction and research, admissions, financial aid, graduation,
curriculum, degrees, support programs, and public service activities;
ii. policies involving student affairs, activities and services;
iii. policies involving faculty status other than collective bargaining issues or
personnel policies;
iv. President's recommendations for award of tenure.
(c) The Committee on Administration and Finance shall have the responsibility of
considering, reviewing, and making recommendations to the full Board on matters
relative to the administrative operation and fiscal management of the University
including but not limited to:
-3-
i. the annual state budget request and the annual operating budget including the
allocation of funds to the campuses and other operating units of the University;
ii. the annual financial statement(s) of the University and the campuses;
iii. tuition and fees and student fee and major trust funds budgets;
iv. investment policies, grants and contracts policies and compensation policies;
v. property, real and personal of the University including its acquisition,
disposition, management and control;
vi. capital budgets and bond financing;
vii information technology policies and plans;
viii. personnel matters including policies on personnel, labor relations and collective
bargaining policies and agreements;
ix. affirmative action policies and implementation.
(d) The Athletic Committee shall have the responsibility of considering, reviewing and
making recommendations to the full Board on matters concerning intercollegiate athletics
at the University including but not limited to:
i. master athletic plans including athletic affiliations and overall athletics
development;
ii. policies involving athletic departments, activities and services.
(f) The Audit Committee shall have the responsibility of considering, reviewing and
making recommendations to the full Board on matters relative to financial control and
auditing of the University including but not limited to:
i. initiation of audits;
ii. audits of the University and its components and affiliates.
In addition, the Audit Committee shall have the final authority to review and approve
the selection of external audit firms and the deployment of auditors pursuant to the
Audit Protocols.
(e) The External Affairs Committee shall have the responsibility of considering,
reviewing and making recommendations to the full Board on matters relative to the
University's relationships outside the University including but not limited to:
i. fundraising and development policies and initiatives;
ii. government relations and advocacy;
iii. policies and initiatives concerning economic development, technology transfer,
industry partnerships and sponsorships.
The next item was Exclusion List. Department of Defense, a routine vote. It was moved, seconded
and
VOTED : To recommend that the Board take the following action:
WHEREAS, current Department of Defense Regulations contain a provision
making it mandatory that the Chairman of the Board, the President, the
Secretary and the designated Facility Security Officer meet the personnel
clearance requirements established for a contractor's facility clearance; and
WHEREAS, said Department of Defense Regulations permit the exclusion
from the personnel clearance requirements of certain members of the Board
of Trustees and other officers, provided that this action is recorded in the
minutes.
NOW, THEREFORE, BE IT DECLARED that the Chairman of the Board,
the President, the Secretary and the designated Facility Security Officer at the
present time do possess or will be processed for the required security
clearance; and
BE IT RESOLVED that in the future, when any individual enters upon any
duties as Chairman of the Board, the President, Secretary or other person
designated as Facility Security Officer, such individual shall immediately
make application for the required security clearance; and
BE IT RESOLVED FURTHER that the following members of the Board of
Trustees and other officers shall not have, and can be effectively excluded
from access to all classified information in the possession of the corporation
and do not occupy positions that would enable them to affect adversely
policies or practices in the performance of classified contracts for the
Department of Defense or the User Agencies of its Industrial Security
Program:
NAME
TITLE
Brian Andriolo
Trustee
Daniel E. Bogan
Trustee
Derek C. Bok
Trustee
Lawrence S. DiCara
Trustee
Joseph S. Finnerty
Trustee
Heriberto Flores
Trustee
Michael T. Foley, M.D.
Trustee
Robert J. Haynes
Trustee
Charles Hoff
Trustee
Robert S. Karam
Trustee
Peter K. Lewenberg
Trustee
Arnold J. Lizana, III
Trustee
Ogretta V. McNeil
Trustee
Matthew Morrissey
Trustee
Gordon N. Oakes, Jr.
Trustee
James F. O'Leary
Trustee
(cont.)
J. William Poduska, Sr.
Trustee
Timothy Purdy
Trustee
Mary L. Reed
Trustee
Piedad F. Robertson
Trustee
Rina K. Spence
Trustee
Timothy Sweeney
Trustee
Chancellor Lazare was then asked to report on the Hospital Management Board Minutes . The
Committee then recognized the extensive work that George McClelland, Chair of the Hospital
Management Board Finance Committee has done on behalf of the University and the Hospital. It was
moved, seconded and
VOTED : To recommend that the Board approve the minutes of the May 18, 1994 Hospital
Management Board minutes including the Unaudited Financial Statement for April, 1994,
and the appointments and reappointments for April, 1994.
And further, to approve the Medical Staff By-Laws changes which had been approved by
the Hospital Executive Committee. (Doc. T94-080)
The item for discussion was Plans for Mission Enhancement Funds . President Hooker reminded the
Committee that there was a percentage of funds reserved in the last year's budget for Mission
Enhancement projects. The funds are being reallocated in the current year for ongoing projects. Each
Chancellor then reported on the areas of focus in relation to the strategic priorities and the specific
mission of each campus. President Hooker further said that each report of the Chancellor reflects the
success of the Mission Enhancement program, particularly those projects which have already been picked
up be external funding sources. This is also an example for reallocating resources to areas of need and
mission, which is vital to the University's growth and success.
Trustee Bok then gave a report on the Lowell Study Group, noting that the reason for this study
grew out of a variety of changes and external forces on that campus. The study is divided into three
broad areas: financial, physical plant and planning, and market niche. Trustee Bok noted that they plan
to have a report to this Board at the October meeting, and stated further that this study may prove useful
in looking at these important aspects of other campuses in the system.
President Hooker then updated the Committee on Chancellor Hogan's Evaluation, noting that, in
accordance with Board policy, the evaluation of Chancellor Hogan has commenced and he will report
back to the Committee in the fall.
Under Other Business. General Counsel Kirby updated the Committee on MASS PIRG and reported
that the Board stands opposed to having any outside organization on the University's bills.
Chair Taylor then called for a motion to enter Executive Session to consider an Honorary Degree at
UMASS Boston and issues pertaining to Collective Bargaining . At 5:05 p.m. it was moved, seconded
and
VOTED : To go into Executive Session.
Chair Taylor voted for the motion as did Trustees DiCara, Flores, Haynes, Hoff, Lewenberg and
Spence.
At 5:55 p.m. the Committee came out of Executive Session and it was moved, seconded and
-6-
VOTED : To recommend that the Board award an honorary degree to that individual agreed upon
in Executive Session and to instruct the Chancellor to proceed with the necessary
arrangements.
The meeting adjourned at 6:00 p.m.
lizabeth H. Tuthill
Assistant Vice President for Board Relations
-7-
UNIVERSITY OF MASSACHUSETTS
AMHERST • B OSTON • DARTMOUTH • LOWELL • WORCESTER
MINUTES OF THE JOINT MEETING OF THE
EXECUTIVE AND EXTERNAL AFFAIRS COMMITTEES
Tuesday, October 4, 1994
1:00 p.m.
V.I.P. Room, Mullins Arena
University of Massachusetts
Amherst, Massachusetts
Committee and Committee Staff : Chairs Taylor and Karam; Trustees DiCara, Finnerty, Hoff,
Lewenberg, Poduska, Reed, Robertson, Sweeney; Vice President/Secretary to the Board Boyd; Ms. Farrell,
Assistant Vice President for Board Relations
Other Trustees : Trustees Andriolo, Bok, and Lizana
Committee Members Absent : Trustees Flores, Foley, Haynes, McNeil, Morrissey, O'Leary, Spence
University Administration : President Hooker; Chancellors Scott, Cressy, Hogan and Lazare; Provost
Esposito; General Counsel Kirby
Guests : Randolph Bromery, President, Springfield College
Chair Taylor convened the meeting at 1:10 p.m., and indicated that the first item on the agenda would
be Strategic Planning under the Executive Committee. He then turned to Vice President Laslo Boyd,
who described the strategic planning process and pointed out the areas of interest in the Strategic
Planning document handed out to each member. In particular, Vice President Boyd noted the planning
process around the three strategic priorities as well as the fourth distinctive priority of each campus. He
further summarized where each campus stood in their planning process, and noted the importance of the
loose-leaf binders that the plan was distributed in, indicating the importance of adding to and changing
the plan as the process continues.
Trustee Karam who has been closely involved with the planning said that he appreciated all of the
hard work that had been done on the plans, and noted the importance of matching the goals and
indicators. He further noted that the next step should be to bring all of the campus plans together and
agree on a particular timeline and agree on the peers and aspirant peers. He also thanked all of those
who have been involved in this effort. Trustee Hoff further noted that clear strategic imperatives should
be identified in the plans. There was further discussion of the plans, particularly in regard to system
comparisons, particular focus, format, and timetables. Chair Taylor indicated that the plans should set
the agenda for Board meetings which would further allow the Trustees to participate in the development
of the plans. He then thanked those involved in this effort, particularly Vice President Boyd.
The next item on the agenda was Development Reports under External Affairs Committee. Trustee
Karam asked Vice President Boyd to introduce the item. Mr. Boyd reminded the Committee that at the
August, 1994 meeting the Committee had heard in greater detail from the Amherst campus, and that each
campus would be given time to provide focused information to the Committee. Chancellor Cressy then
provided informational highlights from the UMASS Dartmouth fundraising and development efforts
which currently has a particular focus on the centennial campaign. Trustee Karam noted the importance
of fund-raising administration as a high priority for the Board.
The next item on the agenda were the action items under the Executive Committee, the first being
Hospital Management Board Minutes . There being no discussion,
It was moved, seconded and
VOTED: To recommend that the Board approve the minutes of the June 22, 1994 Hospital
Management Board minutes including Unaudited Financial Statement for June, 1994, and
the appointments and reappointments for May, 1994. (Doc. T94-095)
The next item on the agenda was the A ppointments to the Clinical Management Board, UMASS
Worcester . Chair Taylor noted that he would be reporting on the actions taken at the Special Board
Meeting held on September 23 which precedes this particular vote.
It was then moved, seconded and
VOTED: To recommend that the Board appoint the following members to the University of
Massachusetts Clinical Management Board:
M ed i ca l Staff Memb er
Dr. William Lavelle
Community Members
Ms. Barbara Greenberg
Ms. Mary Lee King
Mr. William Kelleher
Trustee Members
Michael T. Foley, M.D.
Robert J. Haynes
Robert S. Karam
Peter K. Lewenberg
Daniel A. Taylor
Ex Officio
Aaron Lazare
Arthur Russo
Joseph Benedict
Michael Hooker (or designate)
(Doc. T94-104)
The next action item on the agenda was the Naming of the Library, UMASS Amherst . Chair Taylor
called on Chancellor Scott who offered background as to why this naming of the library for W.E. B.
DuBois is so important to the campus, and further reviewed the information on Dr. DuBois that had been
sent to the Committee. Chancellor Scott also noted that the Library Council had given their support to
this action while continuing to emphasize the importance of the fundraising effort. Chair Taylor and
Chancellor Scott then introduced Dr. Randolph Bromery who is the chair of the fundraising committee
for the naming of the library, is a past Chancellor of the Amherst campus and currently President of
Springfield College. Dr. Bromery spoke of the life of W.E.B. DuBois and the remarkable qualities of both
scholar and citizen that DuBois exhibited over his long life. He further reminded the Board of the
extensiveness of the DuBois collection in the UMASS Amherst library and the honor that was bestowed
on the University and the Commonwealth in having the library housed there. Professor Thelwell of the
Department of African-American Studies then spoke to the question of DuBois joining the Communist
Party and the accusations against DuBois regarding his American citizenship, saying that there is no hard
evidence that DuBois ever renounced his citizenship. After further discussion,
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It was moved, seconded and
VOTED: To recommend that the Board name the library on the Amherst campus in honor of
W.E.B. DuBois. (Doc. T94-096)
Chair Taylor then thanked Dr. Bromery for his leadership and for his earlier comments, and also
thanked Professor Thelwell. It was further noted that the library should be an open, accessible place for
students and visitors to the campus alike. Dr. Bromery also pointed out that the distinguished collection
in the library also houses the Horace Mann Bond papers and poems of Phyllis Wheatley.
Chair Taylor then turned to Trustee Bok for a report on the Lowell Study Group . Trustee Bok
discussed the results and emphases from the Lowell Study, identifying the principle risks that were taken
and the various aspects that shaped the results and recommendations of the study. He noted that there is
a distinctive mission for the campus and the University ought to identify and commit resources to further
that mission. Trustee Bok offered his thanks to Chancellor Hogan and the members of the Lowell campus
for working with the Study Group. He then turned to various members of the Study Group to report on
the specifics of their particular areas: Tom O'Brien, Dean of the School of Management reported on the
financial condition of the campus; Pat Meny of the School of Management discussed findings from
studies on the market niche; Joan Stoia reported on findings in the area of business and industry
connections; and Mark Lindhult presented on the physical layout of the campus, with particular focus on
the proposed Lowell Arena.
Chancellor Hogan then thanked Trustee Bok and the Study Group, noting the importance of the
document and the plans on the campus to pursue the recommendations through strategic planning and
the planning and budget council work. Further discussion regarding the study was held, and it was
decided that the last action item, Honorary Degrees , would be addressed by the Board in full so as to
allow ample time for the discussion on the Lowell Study. Trustee Bok commented that the more
important functions in order to make decisions will be to integrate the timetables into goals and include
the study into the planning process; he also said that it would be important to focus on a few critical
things which will allow the Board to follow a particularly important issue, and the need for strategic
imperatives was again cited.
It was then decided that the Chancellors should present three year plans on strategic imperatives
with budget and planning implications. Also, the next level of focus and decision making on the Lowell
Study needs to be identified and decisions should be tied to critical objectives.
There being no further business to come before the Board, the meeting adjourned at 3:30 p.m.
Eliz&beU H. Tuthill Farrell
Assistant Vice President for Board Relations
UNIVERSITY OF MASSACHUSETTS
AMHERST • BOSTON • DARTMOUTH • LOWELL • WORCESTER
MINUTES OF THE JOINT MEETING OF THE
EXECUTIVE AND EXTERNAL AFFAIRS COMMITTEES
Tuesday, December 6, 1994
3:00 p.m.
Faculty Conference Room
University of Massachusetts Medical Center
Worcester, Massachusetts
Committee and Committee Staff : Chairs Taylor and Karam; Trustees Haynes, Lewenberg, McNeil,
Morrissey and Sweeney; Vice President Boyd; Assistant Vice President Farrell
Other Trustees : Trustees Andriolo, Giblin, Kraft, and Naughton
Committee Members Absent : Trustees Flores, Foley, Hoff, O'Leary, Reed, Robertson, Spence
University Administration : President Hooker; Chancellors Cressy, Hogan, Lazare, Penney, Scott; General
Counsel Kirby, Vice President Lenhardt
Faculty Representatives : Professors May, Knight, Carroll and Dr. Cooke.
Chair Karam convened the meeting at 3:20 p.m. Chair Taylor then introduced the three new Trustees
who were in attendance at the meeting, Trustees Kraft, Giblin and Naughton, and thanked them for their
willingness to serve on the Board.
The first item on the agenda was the Legislative Packag e. Vice President Boyd referred to the
legislative overview provided to each Trustee. Discussion regarding a student trustee serving on the -
merged Building Authority was held and General Counsel Kirby will add that to the bill. The External
Affairs Committee will hold a strategy meeting sometime after the first of the year to discuss this
legislation and the FY96 budget.
The next item on the agenda was an Update on the Capital Program . Vice President Lenhardt
reminded the Committee that the Governor had filed a bill with extensive capital projects for the
University which will most likely not be acted on this session. The University is planning extensive
maintenance projects with borrowed money from the UMASS Building Authority. He also noted that the
SMU Building Authority will refinance its bonds upon approval by the Board, and Chancellor Cressy will
include the impact of this in his student fee budget in the spring.
The next item on the agenda was Development Reports: UMASS Lowell . Vice President Boyd
referred to the quarterly development report which combines all information from the five campuses. Of
particular interest was the first-quarter funds raised comparing FY93 to FY94. More information will be
provided and discussed at future meetings of the External Affairs Committee.
Chancellor Hogan then provided a detailed update to the Committee on the campus' plans for
development. Chancellor Hogan continued his presentation into the Lowell Campus Report, the
response to the study by Trustee Bok. He reviewed the campus's overall strategy and the detailed steps
that the campus will take to reach its goals with a specific schedule for funding this plan. The Trustees
noted their satisfaction with the Chancellor's emphasis on reallocation to meet his campus' goals. The
Committee further complimented the campus on it's timely response to the study, as did President
Hooker. Trustee Andriolo commented that the students had been very involved with the study response
and are supportive of the Chancellor's efforts to implement the recommendations. Chair Taylor also
commented that this study was a good model for the Board to use in looking closely at the inner-
workings of a campus located in an area of the state with economic difficulties like southeastern
Massachusetts, and urged Chancellor Hogan to communicate any ways in which the Board or the
President may be useful in helping the campus to implement their plan.
The next item on the agenda was the Measurable Goals and Indicators . Trustee Karam reported that
he has met with the campus representatives and significant progress on the use of data in strategic
planning and prioritizing has been made. Trustee Karam further suggested that the Chancellors attend
the next meeting of that group.
In discussing the next agenda item, Strategic Initiatives . Trustee Karam indicated the need to define
the category of items that would be included in this type of list. After extensive discussion, President
Hooker reminded the Committee that he had asked the Chancellors to identify the five most critical areas
of the campus's current activities in response to Trustee comments at the previous Executive Committee
meeting. Chair Taylor affirmed the President's remarks and noted that these lists were not any formal
statement of mission for the campuses.
The next item on the agenda for action was Clinical Management Board Members . Chancellor
Lazare reminded the Committee that the Clinical Management Board is the successor to the Hospital
Management Board as approved by the Board of Trustees on September 23. The action for approval
merely adds to the list of those already approved for membership on the newly created Board.
It was moved, seconded and
VOTED: To recommend that the Board appoint the following members to the University of
Massachusetts Clinical Management Board:
Community Members
Cornelius Ferris
Physicians
Arthur Pappas, M.D.
Neil Blacklow, M.D.
The next item on the agenda for action was the Amendments to the By-Laws of the Clinical
Operations, UMASS Worcester . After response to a question regarding the changed by-laws, it was
moved, seconded and
VOTED : To recommend that the Board approve the amendments to the By-Laws of the Clinical
Operations of the University of Massachusetts Medical Center as listed in Doc. T94-099.
The next item on the agenda for action was approval of th e Hospital Management Board Minutes .
Chair Taylor noted that these minutes are from the last meeting of that Board.
It was moved, seconded and
VOTED : To recommend that the Board approve the minutes of the September 28, 1994 Hospital
Management Board including the Unaudited Financial Statements for June, July and
August, 1994, and the appointments and reappointments for June, 1994. (Doc. T94-121)
The next item on the agenda was the Department of Defense Exclusion List . Chair Taylor reminded
the Committee that this vote is necessary in response to Department of Defense regulations.
-2-
It was moved, seconded and
VOTED : To recommend that the Board take the following action:
WHEREAS, current Department of Defense Regulations contain a provision
making it mandatory that the Chairman of the Board, the President, the Secretary
and the designated Facility Security Officer meet the personnel clearance
requirement established for a contractor's facility clearance; and
WHEREAS, said Department of Defense Regulations permit the exclusion from
the personnel clearance requirements of certain members of the Board of
Trustees and other officers, provided that this action is recorded in the minutes.
NOW THEREFORE, BE IT DECLARED that the Chairman of the Board, the
President, the Secretary and the designated Facility Security Officer at the present
time do possess or will be processed for the required security clearance; and
BE IT RESOLVED that in the future, when any individual enters upon any
duties as Chairman of the Board, the President, Secretary or other person
designated as Facility Security Officer, such individual shall immediately make
application for the required security clearance; and
BE IT RESOLVED FURTHER that the following members of the Board of
Trustees and other officers shall not have, and can be effectively excluded from
access to all classified information in the possession of the corporation and do not
occupy positions that would enable them to affect adversely policies or practices
in the performance of classified contracts for the Department of Defense or the
User Agencies of its Industrial Security Program:
NAME
Brian Andriolo
Daniel E. Bogan
Derek Bok
Heriberto Flores
Michael T. Foley, M.D.
William Giblin
Robert J. Haynes
Charles Hoff
Robert S. Karam
Myra Kraft
Peter K. Lewenberg
Arnold Lizana
Ogretta McNeil
Matthew Morrissey
John Naughton
James F. O'Leary
John William Poduska, Sr.
Timothy Purdy
Mary L. Reed
Piedad F. Robertson
Rina K. Spence
Timothy Sweeney
TITLE
Trustee
Trustee
Trustee
Trustee
Trustee
Trustee
Trustee
Trustee
Trustee
Trustee
Trustee
Trustee
Trustee
Trustee
Trustee
Trustee
Trustee
Trustee
Trustee
Trustee
Trustee
Trustee
-3-
There being no further business to come before the Committee, the meeting adjourned at 5:20 p.m.
'J
Elizabeth H. Tuthill Farrell
Assistant Vice President for Board Relations
-4-
UNIVERSITY OF MASSACHUSETTS
AMHERST • BOSTON • DARTMOUTH • LOWELL • WORCESTER
MINUTES OF THE MEETING OF THE
BOARD OF TRUSTEES
Wednesday, February 2, 1994; 9:15 a.m.
Chancellor's Conference Room
Quinn Administration Building
University of Massachusetts
Boston, Massachusetts
Trustee and Trustee Staff: Chair Taylor; Trustees Bogan, Bok, DiCara, Dickson, Finnerty, Flores, Foley,
Haynes, Hoff, Karam, Lewenberg, Lizana, McNeil, O'Leary, Poduska, Reed, Siegmann, Spence and Tobin;
Mrs. Fontaine, Secretary to the Board
Trustees Absent : Trustees Cunningham, Oakes and Robertson
University Administration : President Hooker; Chancellors Scott, Penney, Cressy, Hogan and Lazare;
Vice Presidents Lenhardt, Sessoms and Chmura; General Counsel Kirby; Ms. Layton, Assistant Vice
President; Professors May, Watanabe, Ahearn, Sheff and Dr. Cooke, Faculty Representatives
Chair Taylor convened the meeting at 9:28 a.m. The first item on the agenda was consideration of the
Minutes of the previous meeting of the Board. Without discussion, it was moved, seconded and
VOTED : To approve the minutes of the December 1, 1993 meeting of the Board.
President Hooker then gave his report. He first asked Chancellor Penney to update the Board on the
recent air quality problems the Boston campus has been experiencing. Chancellor Penney reported that
she will continue to meet with staff from the Department of Health and Hospitals before a decision as to
when the campus can open. The campus is now open on a limited basis and a decision will soon be made
on a planned opening to students on Monday. ->
Chancellors Cressy and Lazare then briefed the Board on their recent trip to Israel as part of the
Governor's trade mission.
President Hooker then reported to the Board about the importance of public relations and building a
positive public image in the Commonwealth. He also reported on the recent reception for ALANA
faculty and staff held at the Worcester campus. The reception was well attended and provided an outlet
for useful discussion. A five-campus student conference on multi-culturalism is now being planned for
the Fall and A President's Advisory Council on Multi-culturalism is a|so being developed.
/
Under the Committee of the Whole Discussion, Chancellor Penney introduced Shaun O'Connell,
Professor of English and author of the book "Imagining Boston" a 1 copy of which each Board member
received. The Board then saw a video presentation about howUhe Boston campus is meeting the
challenges of the future, including affordability, accessibility and accountability. Brenda Cherry, Dean of
the Nursing Program, Martin Quitt, Professor of History, Joseph Conney, Professor in the Environmental
Sciences, Donaldo Macedo, Professor of English , Connie Chan from the Human Services program, CPCS,
Terry Mortimer, Associate Provost, Edwin Melendez, Director of the Gaston Institute, each spoke of their
programs and how they will shape the campus' vision.
Chancellor Penney also announced the formation of an Urban Cabinet co-chaired by James Jennings,
Director of the Trotter Institute and Vice Chancellor Charles Desmond. This cabinet will ensure that the
multi-faceted urban agenda is results oriented. She also talked about meetings with UMASS Boston
graduates, Mayor Thomas Menino and Congressman Joseph Kennedy to discuss Boston's' future.
Chair McNeil gave the report of the Committee on Academic and Student Affairs. The first item was
Award of Tenure, UMASS Worcester . It was moved, seconded and
VOTED : To concur with the President in the award of tenure to Dr. Jack L. Leonard,
Professor of Nuclear Medicine, UMASS Worcester. (Doc. T94-014)
The next item was Transfer of Tenure, UMASS Amherst . It was moved, seconded and
VOTED : To concur with the President in the transfer of tenure of Dr. R. Glenn Brown from
the Department of Nutrition to the Department of Veterinary and Animal Sciences,
UMASS Amherst. (Doc. T94-017)
Trustee McNeil then updated the Board on several issues including the collaborative Nursing
Program which is under review and will be soon sent to the Higher Education Coordinating Council. A
program review policy for the system is being developed and an engineering study has been
commissioned to review the Engineering colleges and programs at the Amherst, Dartmouth and Lowell
programs. She reported that the Committee also heard reports on Achieving Tenure, the Community
College Articulation Program and Under-enrolled Programs and the role of continuing education at
UMASS Lowell.
Trustee McNeil then asked Assistant Vice President Layton to update the Board on the results of the
survey sent to members of the legislature and key staff officials. These results will be incorporated in the
UMASS Report Card. She also spoke of the Five Campus Peer Study. There was then discussion about
the survey's results which showed that access to the University and the quality of teaching were
considered the top priorities and to achieve these goals, the University must show the legislators that
increased state funding must be obtained. Trustee Hoff pointed out the need for cost control and stronger
fundraising efforts to curb tuition and fee increases.
Trustee Spence then gave the report of the Committee on Administration and Finance. She first
reported on the preliminary discussion the Committee had concerning tuition and fees. She mentioned
the President's intention to lift investment restrictions in South Africa effective May 1, 1994 barring any
reversal of anticipated commitments of the government.
The two items for action were approval of the Trustee Reserve Fund and the President's Program
Fund . These policies would provide flexibility to the Board and the President for emergency situations
on campuses and to fund some innovative projects.
President Hooker noted that funds from the Trustee Reserve had been used this week to begin to
remedy the situation at the Boston campus. An example of funds from the President's Program Fund was
the Diversity Conference at Amherst this past Fall. Trustee Haynes requested the Board be regularly
informed about the how these funds are being spent.
In response to a statement from Trustee Flores about the growing Hispanic population, Chancellor
Cressy informed the Board of the Dartmouth campus' outreach programs in the area high schools focused
to increase student interest in college.
It was moved, seconded and
VOTED : To establish the University-wide Trustee Reserve Fund and to approve the Policy on
Trustee Reserve and purpose as contained in Doc. T94-018A. Further, to rescind all other
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policies relating to this fund (or any part thereof) currently in effect in the University
which are inconsistent herewith.
The next item was approval of the President's Program Fund . It was moved, seconded and
VOTED : To establish the University-wide President's Program Fund and to approve the Policy on
the President's Program Fund and purpose as contained in Doc. T94-019A. Further, to
rescind all other policies relating to this fund (or any part thereof) currently in effect in
the University which are inconsistent herewith.
Trustee Lizana then commented about the impact raising tuition and fees will have on students. The
new budget proposed by the Governor will show level funding which means the University must find
ways to see that all students wishing to attend UMASS are able to do so. It was suggested the University
strongly consider fundraising efforts. It was also suggested that a task force be established to look at the
questions of what kind of financial needs there are and what loans are available. A group of students and
appropriate people to study this issue will be set up.
Trustee Lewenberg then gave the Report of the Committee on Athletics. He reported that President
Hooker updated the members on the significant outcomes of the recent National Collegiate Athletic
Association convention, and there was also an update on diversity efforts on each of the campuses, as
well as an update on the status of the athletic facility at UMASS Lowell.
Chancellor Cressy then updated the Board on the Dartmouth campus' efforts to attract the World
Cup Soccer team to train at UMASS Dartmouth.
The next item on the agenda was the report of the Audit Committee. Trustee Haynes first thanked
David Wolcott, Stephen Lenhardt and Janet Wanczyk for their work and efforts on behalf of the
Committee. It was moved, seconded and
VOTED : To accept the following Reports:
•Recreational Fees Follow-Up Audit, UMASS Amherst (Doc. T94-004)
•Division of Public Safety Payroll System Follow-Up, UMASS Amherst (Doc. T94-005)
•Employee Business Expense Processing and Control Audit, UMASS Worcester (Doc.
T94-007)
• Audited Financial Statements for FY93 for the Worcester City Campus Corporation
(Doc.T94-001)
•Management Letter for Worcester City Campus Corporation (Doc. T94-011)
•Teaching Hospital Trust Fund Management Letter (Doc. T94-008)
•Group Practice Plan Management Letter (Doc. T94-009)
•Self Insurance Trust Management Letter (Doc. T94-010)
•Teaching Hospital and Group Practice Plan Information Systems Management Letter,
UMASS Worcester (Doc. T94-012)
• WFCR-FM & Friends of WFCR, Inc., FY93 Audited Financial Statements (Doc. T94-002)
•WFCR-FM Management Letter, UMASS Amherst (Doc. T94-O03)
Chair Taylor commended Trustee Haynes for the extraordinary job he's doing chairing the Audit
Committee, and welcomed members of the Board to join the Committee.
Chair Taylor then gave the report of the Executive Committee. Trustee Foley updated the Board on
the activities of the Hospital Management Board ,. It was moved, seconded and
VOTED : To approve the minutes of the November 17, 1993 Hospital Management Board
meeting including the Unaudited Financial Statement for October, 1993. (Doc.
T94-022)
Under Other Business, Trustee Haynes commended Chancellor Scott for responding to financial
shortfall on campus by avoiding layoffs through attrition.
Professor Watanabe then requested that members of the three unions, representatives of the students
to participate in discussions with the Department of Health and Hospital to decide when the Boston
campus will reopen.
President Hooker then announced that Ronald Story, will complete his duties as Interim Vice
President for Academic Affairs at the end of August and return to the Amherst campus. He commended
Professor Story for the outstanding job he has done and for his commitment to quality and preservation
of traditional values in the area of academic affairs. A search process for a two-year interim Vice
President will begin immediately.
The meeting adjourned at 11:35 a.m.
Barbara DeVico
Staff Assistant
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UNIVERSITY OF MASSACHUSETTS
AMHERST 'BOSTON • DARTMOUTH • LOWELL • WORCESTER
MINUTES OF THE MEETING OF THE
BOARD OF TRUSTEES
Wednesday, April 6, 1994; 9:15 a.m.
Corsair's Cove
University of Massachusetts
Old Westport Road
Dartmouth, Massachusetts
Trustees and Trustee Staff : Chair Taylor; Trustees Bok, Bogan, Cunningham, DiCara, Dickson, Finnerty,
Flores, Foley, Haynes, Hoff, Lewenberg, Lizana, McNeil, Oakes, O'Leary, Poduska, Reed, Siegmann,
Spence and Tobin; Mrs. Fontaine, Secretary to the Board
Trustees Absent : Trustees Karam and Robertson
University Administration : President Hooker; Chancellors Scott, Penney, Cressy, Hogan and Lazare;
Vice Presidents Boyd, Chmura, Lenhardt, Sessoms and Story; Ms. Kirby, General Counsel;
Chair Taylor convened the meeting at 9:35 a.m. The first item on the agenda was Consideration of
the Minutes of the previous meeting of the Board. Without discussion, it was moved, seconded and
VOTED : To approve the minutes of the February 2, 1994 meeting of the Board.
Chair Taylor then announced that Trustee Siegmann has been chosen to represent the University and
the State of Massachusetts at the 1994 Women as Leaders Seminar to be held in Washington. The
Washington Center for Internships and Academic Seminars received over 8,000 applications for
consideration and Stephanie will be one of 200 seminar participants.
He then announced that he was formally appointing Trustees Reed, Haynes and Hoff to the Ad Hoc
Committee on Personnel and Diversity. This Committee has been established under the Administration
and Finance Committee to review the non-unit personnel policies. The Committee's charge will be
expanded to include personnel and diversity issues and will report directly to the Board.
President Hooker then gave his report. He first announced that the Higher Education Coordinating
Council (HECC) has approved the joint Ph.D. proposal in Nursing between the Amherst and Worcester
campuses. There is now discussion between the Boston and Lowell campuses for another joint effort in
Nursing. He also announced that the University system has been accepted as part of Phase II of the Pew
Roundtable project which has been looking at the financial condition of higher education, particularly the
difficulties of restructuring in light of financial exigencies. The University's participation will consist of
roundtable discussions at each campus which will include faculty and administrators, each facilitated by
someone from PEW. The final roundtable will have system-wide participation. Typically, roundtables
have 25-30 people, half of which are faculty, half of which are administrators; PEW sends in a facilitator to
discuss various policy documents.
Trustee McNeil then gave the report of the Committee on Academic and Student Affairs. Along with
the joint program in Nursing at Amherst and Worcester, the Stage I proposal in Organismic and
Entomology at UMASS Amherst is also expected to be approved by HECC. The comprehensive
Engineering Study is nearly complete and will be sent out to the campus for review before it comes to the
Board. The Report Card to the Legislature is also expected to be completed by the end of the month.
The first action item was Awards of Tenure. UMASS Amherst. UMASS Boston . She reported that
out of the Amherst campus nominees, there were five women, and one African-American. In Boston, all
three candidates were women. It was moved, seconded and
VOTED : To concur with the President in the award of tenure to the following individuals:
Amherst
Dorothy Gilbert - Nursing
Karen Heifer - Communications Disorders
Matthew Kelty - Forestry and Wildlife Management
M. Christine King - Nursing
John Kingston - Linguistics
Randall Knoper - English
Patricia Lasch - Art
Craig Martin - Chemistry
David K. Scott - Physics and Astronomy
Nancy Sheard - Nutrition
Nathaniel Whitaker - Mathematics and Statistics
Boston
Jane Adams - Psychology
Randy Albelda - Economics
Jill Rierdan - Psychology (Doc. T94-042)
The next item was a formal resolution withdrawing the Doctor of Nursing Science Program,
UMASS Lowell. It was then moved, seconded and
VOTED : To withdraw from further consideration by the Higher Education Coordinating Council,
the Stage II proposal for a Doctor of Nursing Science at UMASS Lowell as contained in
Doc.T91-112.
The next item was approval of the Stage II proposal for a Master of Arts in Teaching, UMASS
Dartmouth . It was moved, seconded and
VOTED : To approve the Stage II proposal for a Master of Arts in Teaching at UMASS Dartmouth
as contained in Doc. T91-112.
Trustee McNeil then reported that the Committee had heard a report on Center and Institutes and
asked that it come back to the Committee after further review. The Committee had heard a report on
Financial Aid Administration stipulating that some changes had been made and that most of the needs
are being met. Another report on Academic Program Review had generated a great deal of discussion
and had led to a set of recommendations being reviewed by the campuses which will then come back to
the Committee.
There had also been an update on the Wrap-Around Electronic Admissions Applications, the
Academic Program Brochure and a Report on the Federal Budget. Trustee Bok inquired about a
Committee discussion on the tenure process. This item would be on a future Committee agenda with
Trustee Bok in attendance.
Trustee Lewenberg then gave the Report of the Committee on Athletics. He first congratulated the
successful programs at Amherst, Dartmouth and Lowell in all sports. He then reported on the
Committee's discussions with Mr. David Curley, Merchandising Manager and Licensing Administration
about the merchandising of the UMASS logo. There had also been an update on the multi-purpose arena
-2-
at UMASS Lowell and the City of Lowell's deadline of May 1st to commit to funding the arena as a joint
project.
He then reported on the Medical Policies and Protocols discussion on student athletics to maximize
their care and minimize risks to student athletes. The Committee also heard a report on Astro turfing and
Lighting at UMASS Amherst. It was decided more research was needed on this subject before further
action was taken.
Chancellor Hogan was then asked to elaborate on the plan for a new facility at UMASS Lowell. He
reported that the current plan was to build two sites, 2000 feet apart, one on city property, one on
University property, with the University site housing a recreational student center, the other site housing
both the arena and a practice sheet of ice. He also discussed the capital costs involved. The plan was to
have the University, the City and the State each pay one third of the cost. This issue is still in the early
stages and will come back to the Board for approval.
Trustee Haynes the gave the Report of the Audit Committee.
It was moved, seconded and
VOTED : To accept the following Reports:
• Employee Business Expense Reimbursement Audit, UMASS Worcester
(Doc. T94-007, Addendum 1)
•Department of Athletics and Intramurals (Doc. T94-024)
•Outside Booster Organization, UMASS Amherst (Doc. T94-025)
•University Health Services (Student Health and Kaiser Permanente Trust Funds), FY93
Audited Financial Statements (Doc. T94-026)
•University Health Services Management Letter, UMASS Amherst (Doc. T94-027)
•University General Purpose Audit Management Letter (Doc. T94-028)
Trustee Lizana expressed an interest in joining the Audit Committee at which time, Chair Taylor
encouraged the other student Trustees to participate in this very important committee and commended
Trustees Haynes, Vice President Lenhardt and the audit staff for their hard work.
Trustee DiCara then reported on the action taken by the Nominating Committee. It was moved,
seconded and
VOTED : To appoint Laslo V. Boyd as Secretary to the Board of Trustees.
Trustee Spence then reported on the Committee on Administration and Finance. The first item was
approval of the Personnel Policy for Non-Unit Professional Staff . Trustee Reed, Chair of the Ad Hoc
Committee on Personnel has reviewed the policy in detail and was recommending it to the Board. It was
then moved, seconded and
VOTED : To approve the Personnel Policy for Non-Unit Professional Staff as contained in Doc. T94-
023. Further, to rescind Doc. T73-090A, and all other policies (or any part thereof) currently
in effect in the University which are inconsistent herewith.
-3-
The next item was approval of the Policy on t he Development and Adminis tration of Grants and
Cooperative Agreements for Sponsored Programs . Trustee Spence explained that this policy was part of
an on-going effort to update all University policies to incorporate all five campuses. It was moved,
seconded and
VOTED : To approve the Policy on the Development and Administration of Grants and Cooperative
Agreements for Sponsored Programs as contained in Doc. T94-034. Further, to rescind Doc.
T81-051B, and all other policies (or any part thereof) currently in effect in the University
which are inconsistent herewith.
The next item was the 1994-1995 Tuition and Fees . Trustee Spence indicated that there had been alot
of discussion at the Administration and Finance Committee meeting on this issue and she said that the
Trustees are as concerned as the students about the rate of tuition increases over the many years and the
fact that tuitions at UMASS are high. She pointed out that the Board has concluded that tuition should
not be used to subsidize expenses and has done everything to work with the campuses to reduce
expenses without levying the students. This year, the proposal is a zero increase in tuition in accordance
with HECC and a fee increase equivalent to their 2% of the aggregate tuition and mandatory fees in FY94.
Trustee Spence also pointed out that even with this very limited increase there will be an effect on the
campuses and each of the Chancellors will have budget gaps to deal with.
Trustee Spence further stated that there is a real hope that this time next year we can have a joint
effort with the students, Trustees and Chancellors to work with the legislature to help support UMASS.
There was then a lengthy discussion about the strategy and the proposed vote before the Board.
Trustee Siegmann then spoke to the Board urging it to vote against the increase, then asked that the
vote taken be a roll call vote.
Trustee Hoff seconded a roll call vote and asked to go on record as being opposed to any fee
increases.
Each Chancellor then summarized for the Board the consequences a zero tuition and fee increase
would have on each campus.
The Board then heard from two student at the Boston campus explaining the hardship further fee
increases would impose on the students.
It was then moved, seconded and on roll call
VOTED :
WHEREAS, the pattern of reductions in the state appropriation to the University of Massachusetts
over the past six years has resulted in increases in student charges to continue the academic
enterprise;
WHEREAS, these increases in student charges have resulted in placing some University of
Massachusetts campuses among the most expensive public institutions in the United States;
WHEREAS, the Board believes it must balance the need to provide a diverse quality education with
the need to provide access to higher education for Massachusetts citizens;
NOW THEREFORE in accordance with Section 9 (i) of Chapter 15A of the General Laws the Board of
Trustees hereby recommends to the Higher Education Coordinating Council that there shall be no
increase in tuition on any University campus for Academic year 1994-95 and therefore tuition will
remain as follows:
Tuition:
Annual
From
To
Dollar
%
A yyihafcf
FY1994
FY1995
Change
Change
Undergraduate (resident)
$2,220.00
$2,220.00
$0.00
0.0%
Undergraduate (non-resident)
$8,566.00
$8,566.00
$0.00
0.0%
Graduate (resident)
$2,778.00
$2,778.00
$0.00
0.0%
Graduate (non-resident)
$8,566.00
$8,566.00
$0.00
0.0%
Boston
Undergraduate (resident)
$2,220.00
$2,220.00
$0.00
0.0%
Undergraduate (non-resident)
$8,568.00
$8,568.00
$0.00
0.0%
Graduate (resident)
$2,778.00
$2,778.00
$0.00
0.0%
Graduate (non-resident)
$8,568.00
$8,568.00
$0.00
0.0%
Dartmouth
Undergraduate (resident)
$1,836.00
$1,83600
$0.00
0.0%
Undergraduate (non-resident)
$6,919.00
$6,919.00
$0.00
0.0%
Graduate (resident)
$2,206.00
$2,206.00
$0.00
0.0%
Graduate (non-resident)
$6,919.00
$6,919.00
$0.00
0.0%
Lowell
Undergraduate (resident)
$1,884.00
$1,884.00
$0.00
0.0%
Undergraduate (non-resident)
$7,028.00
$7,028.00
$0.00
0.0%
Graduate (resident)
$2,260.00
$2,260.00
$0.00
0.0%
Graduate (non-resident)
$7,028.00
$7,028.00
$0.00
0.0%
Worcester
Medical School
$8,792.00
$8,792.00
$0.00
0.0%
Graduate (resident)
$2,738.00
$2,738.00
$0.00
0.0%
Graduate (non-resident)
$8,566.00
$8,566.00
$0.00
0.0%
Provided further, in accordance with Section 1 A of Chapter 75 of the General Laws, to establish and
approve the following fees and associated budgets for Academic Year 1994-95 as listed in Doc. T94-
033:
Curriculum Fees:
Annual
From
To
Dollar
%
-f /yret-
FY1994
FY1995
Change
Change
lersi
Undergraduate (resident)
Undergraduate (non-resident)
Graduate (resident)
Graduate (non-resident)
$2,055.00
$2,055.00
$1,734.00
$1,734.00
$2,138.00
$2,138.00
$1,804.00
$1,804.00
$83.00
$83.00
$70.00
$70.00
4.0%
4.0%
4.0%
4.0%
Boston
Undergraduate $1,730.00
$1,814.00
$84.00
4.9%
Graduate $1,730.00
$1,814.00
$84.00
4.9%
Lowell
Undergraduate (resident) $2,646.00
$2,736.00
$90.00
3.4%
Undergraduate (non-resident) $2,646.00
$2,840.00
$194.00
7.3%
Graduate (resident) $2,646.00
$2,745.00
$99.00
3.7%
Graduate (non-resident) $2,646.00
$2,840.00
$194.00
7.3%
Worcester
Medical School $1,000.00
$1,000.00
$0.00
0.0%
Graduate $312.00
$312.00
$0.00
0.0%
Mandatory Fees:
Annual
From
To
Dollar
%
FY1994
FY1995
Change
Change
Amherst
Undergraduate $1,192.00
$1,216.00
$24.00
2.0%
Graduate $998.00
$1,018.00
$20.00
2.0%
Boston
Undergraduate $298.00
$298.00
$0.00
0.0%
Graduate $298.00
$298.00
$0.00
0.0%
Lowell
Undergraduate $72.00
$74.00
$2.00
2.8%
Graduate $72.00
$74.00
$2.00
2.8%
Worcester
Medical School, First and Second Year
$430.00
$470.00
$40.00
9.3%
Medical School Third and Fourth Year
$405.00
$435.00
$30.00
7.4%
Graduate (non-resident)
$405.00
$435.00
$30.00
7.4%
Residence Hall and Board Fees:
Annual
From
To
Dollar
%
FY1994
FY1995
Change
Change
Amherst
Average Room $2,185.00
$2,266.00
$81.00
3.7%
Average Board $1,712.00
$1,762.00
$50.00
2.9%
Telecommunications $0.00
$0.00
$0.00
0.0%
Boston
N/A
N/A
-6-
Lowell
Average Room
$2,390.00
$2390.00
$0.00
0.0%
Average Board
$1,780.50
$1,836.75
$56.25
3.2%
Residential Telecommunications
$80.00
$100.00
$20.00
25.0%
Worcester
N/A
N/A
Provided, however, that the President is authorized and directed to rescind all mandatory fee
increases listed in Doc. T94-033 if the legislative appropriation provided to the University in the
Fiscal Year 1995 budget exceeds $343,999,211.
AND FURTHER,
WHEREAS, the Dartmouth campus joined the University of Massachusetts system in 1991 with
tuition and fees substantially lower than these charged by the other campuses of the University and
by other universities generally;
WHEREAS, the Dartmouth campus requires additional funding from student charges to assist in
continuing to bring its programs to the level of a major University campus;
WHEREAS, the President and Chancellor of the Dartmouth campus have recommended a multi-
year plan to meet these goals;
NOW THEREFORE, in accordance with Section 1A of Chapter 75 of the General Laws the Board
establishes and approves the following fees and associated budgets for the Dartmouth campus for
Academic Year 1994-95 as listed in Doc. T94-033:
Curriculum Fees:
Annual
From
To
Dollar
%
FY1994
FY1995
Change
Change
Undergraduate (resident)
$1,469.00
$1,711.00
$242.00
16.5%
Undergraduate (non-resident)
$1,843.00
$2,405.00
$562.00
30.5%
Graduate (resident)
$1,529.00
$1,820.00
$291.00
19.0%
Graduate (non-resident)
$1,843.00
$2,405.00
$562.00
30.5%
Mandatory Fees:
Undergraduate
$263.00
$288.00
$25.00
9.5%
Graduate
$263.00
$288.00
$25.00
9.5%
Residence Hall and Board Fees:
Average Room
Average Board
$2,588.00
$2,002.00
$2,588.00
$2,026.00
$0.00
$24.00
0.0%
1.2%
-7-
Trustees Bogan, Bok, DiCara, Finnerty, Foley, Haynes, Lewenberg, Oakes, O'Leary, Poduska, Reed,
Spence and Chair Taylor voted for the motion. Trustees Flores, Hoff, McNeil, Siegmann and Tobin voted
against the motion. The motion passed.
The next item was approval of the Graduate Employees Organization Contract . It was moved,
seconded and
VOTED : To approve the agreement between the University of Massachusetts Amherst and the
Graduate Employees Organization (GEO) as described in Doc. T94-035.
Chair Taylor then commended Trustee Spence for all her work as Chair of the Committee on
Administration and Finance. He then gave the report of the Executive Committee. The first item was
Amendments to the By-Laws . It was moved, seconded and
VOTED : To approve the following amendments to the By-Laws of the Board of Trustees of the
University of Massachusetts (Doc. T91-100):
Article II, Meetings of the Board, is hereby amended by inserting after Section 3 the
following:
Section 4. Consent Agenda
By a vote of a majority of Trustees present at any Committee meeting, action item(s) may
be placed on a consent agenda for regular Board meetings. Any item so designated as a
consent agenda item by the Committee shall be so designated in the agenda of a regular
Board meeting mailed to the Board of Trustees. Unless any member objects to the
inclusion of an item on the consent agenda by notifying the President at least twenty-four
hours before the Board meeting, all items designated as a consent agenda item in the
agenda shall be included in the consent agenda for approval by a single vote by the
Board of Trustees without discussion of individual items.
Article III, Committees of the Board, is hereby amended by inserting after subsection (a)
the following:
Section 4
(b) Each Committee, as a standing agenda item, shall reserve fifteen (15) minutes for
public participation. Individuals seeking to speak to a Committee should so inform the
Trustees' Office in writing, setting for the purpose for which they seek to speak, at least
twenty-four (24) hours before the relevant meeting. Generally, the subject should be
related to an item on the meeting agenda. An individual speaker is allowed, at the
pleasure of the Chair, a maximum of three (3) minutes for his/her presentation which
may be supplemented by written material.
The next item was A pproval of the Hospital Management Board Minutes . It was moved, seconded
and
VOTED : To approve the minutes of the December 16, 1993 and January 26, 1994, Hospital
Management Board meetings including the Unaudited Financial Statements for November
and December, 1993, and the proposed appointments and reappointments for November,
1993.
-8-
And further,
To approve the Finance Committee's recommendation that the Policy for Consulting
Contracts require Administration to inform the Finance Committee and Board of contracts
for professional services exceeding $100,000. This requirement is an annexation of the
Trustee policy Document T92-031, entitled "Policy for Management of University Funds"
as it pertains to the Teaching Hospital. (Doc. T94-043)
The next item was a Delegation of Authority to Laslo Boyd, Vice President for University Relations
and Secretary to the Board, as Certifying Officer of the University . It was moved, seconded and
VOTED : To appoint Laslo Boyd, Vice President for University Relations and Secretary to the Board
of Trustees, Certifying Officer of the University; further, to appoint Elizabeth Tuthill,
Assistant Vice President for Board Relations, as Certifying Officer in the absence of the Vice
President/ Secretary. (Doc. T94-044)
The next item was a Delegation of Authority to t he Committee on Personnel and Diversity
concerning personnel actions. As reported earlier, Chair Taylor announced the formal appointments of
Mary Reed, as Chair and Trustees Haynes and Hoff to the Ad Hoc Committee on Personnel and
Diversity. This group, a subcommittee of Administration and Finance to review non-unit personnel
policies will have its charge's expanded to include personnel and diversity issues and will report directly
to the Board. It was moved, seconded and
VOTED : To delegate to the Ad Hoc Committee on Personnel and Diversity the authority to conduct
hearings, make findings and decisions, and, where appropriate, to make recommendations
to the full Board regarding terminations, suspensions, or other individual personnel actions
whenever a hearing by the Board of Trustees or a committee thereof is required by Board
policy or by law.
The next item was Honorary Degrees. UMASS A mherst and UMASS Dartmouth . It was moved,
seconded and
VOTED : To award honorary degrees to those individuals agreed upon in Executive Session and to
instruct the Chancellors to proceed with the necessary arrangements.
Trustee Oakes then read a Resolution honoring Cynthia Fontaine, Secretary to the Board for the past
ten years on her retirement. It was moved, and seconded
VOTED :
Whereas, Cynthia A. Fontaine has served as Secretary to the University of Massachusetts Board for
ten years;
Whereas, Secretary Fontaine has carried out the ministerial and administrative functions to the
Board of Trustees with unerring efficiency, exemplary dedication, and true
professionalism;
Whereas, she has conducted her office with great loyalty to this Board, to this University and,
therefore, to the cause of higher education in the Commonwealth of Massachusetts;
Whereas, Secretary Fontaine will be leaving the Office of the Secretary to explore other facets of her
talent;
-9-
*)
Be it Resolved, the Board of Trustees of the University of Massachusetts, in a meeting assembled this
sixth day of April, 1994, does hereby express not only its sincere and lasting gratitude,
but also the thanks of the entire University community for the constant and selfless
commitment of Secretary Fontaine during her tenure;
Be it Further
Resolved,
that the Board of Trustees wishes her and her family good health and happiness, and best
wishes in the many endeavors her boundless energy will undoubtedly lead her.
The meeting adjourned at 11:30 a.m.
Barbara uevico
Staff Assistant
V
■10-
UNIVERSITY OF MASSACHUSETTS
AMHERST • BOSTON • DARTMOUTH • LOWELL • WORCESTER
MINUTES OF THE MEETING OF THE
BOARD OF TRUSTEES
Wednesday, June 8, 1994; 9:15 a.m.
Board Room
University of Massachusetts
18 Tremont Street, Suite 800
Boston, Massachusetts
Trustees and Trustee Staff : Chair Taylor; Trustees Cunningham, DiCara, Dickson, Foley, Haynes, Hoff,
Karam, Lewenberg, Lizana, McNeil, O'Leary, Poduska, Reed, Siegmann and Tobin; Vice
President/Secretary to the Board Boyd; Ms. Tuthill, Assistant Vice President for Board Relations
Trustees Absent : Trustees Bogan, Bok, Finnerty, Flores, Oakes, Robertson and Spence
Student Trustees Elect : Mr. Purdy, Mr. Morrissey and Mr. Andriolo
University Administration : President Hooker; Chancellors Scott, Penney, Cressy, Hogan and Lazare;
Vice Presidents Chmura, Lenhardt, Sessoms and Story; General Counsel Kirby
Chair Taylor convened the meeting at 9:30 a.m. The first item on the agenda was Consideration of
the Minutes of the previous meeting of the Board. Without discussion, it was moved, seconded and
VOTED : To approve the minutes of the April 6, 1994 meeting of the Board.
Under the President's Report, President Hooker informed the Board of the study, "New Economic
Reality" sponsored by the Massachusetts Taxpayers Foundation and conducted by Professor Craig Moore
of the UMASS Amherst School of Management and Dr. Edward Moscovitch, of Cape Ann Economics,
analyzing the Commonwealth's economy which will prove valuable to policy makers. He then reported
that he, the Chancellors, and Vice Chair Karam would need to leave the meeting to attend the release of
the State Senate budget at 10:00 a.m. It is believed that the budget has a proposed increase of $15 million
over last year's budget, a $4.2 million increase over the House budget. He talked about the difference this
year in working for the budget involving Trustees, faculty, students, particularly the students from
Amherst. He also mentioned the efforts of Vice Chair Karam and the External Affairs Committee for
taking on the challenge of gaining political support for the budget and how to present it.
He then asked Chancellors Penney and Hogan to introduce their new Provosts, Louis Esposito from
UMASS Boston and Sukant Tripathy from UMASS Lowell.
Trustee McNeil then gave the report of the Committee on Academic and Student Affairs. The first
item had been the approval of Codes of Student Conduct . It was moved, seconded and
VOTED : To approve the Codes of Student Conduct for the Amherst, Boston, Dartmouth and
Lowell a.mpuses as contained in Doc. T94-059. Further, to rescind DocTs. T93-055A and
T87-037B, and all other policies (or any part thereof) currently in effect in the University
which are inconsistent herewith.
The next item was the Constitution of Student Government Association. UMASS Amherst . Trustee
Lizana then recognized the work of Matt Malone, Student Attorney General and his staff for this major
accomplishment. It was moved, seconded and
VOTED : To approve the Constitution of the Student Government Association at the Amherst
campus as contained in Doc. T94-060.
The next item was Awards of Tenure, UMASS Amherst, Boston, Dartmouth and Worcester . Of the
eleven candidates there was one African-American and five women. Chancellor Scott noted that the
Amherst cases should read "excellent" in Research as opposed to "strong". It should also be noted that the
vote by the Executive Council of Faculty for the Worcester case should read "14-0-1"; there was not a vote
against, but an abstention. It was moved, seconded and
VOTED : To concur with the President in the award of tenure to the following individuals in the
following Departments:
Amherst
Neal Anderson— Electrical and Computer Engineering
Yossi Chait— Mechanical Engineering
Boston
Judith Goleman— English
Mary O'Brien— Nursing
Pamela Jones Rothwell— Art
Frank Porell— Gerontology
Nancy Smith-Hefner— English
Dartmouth
Helene Fine— Management/Human Resources
Raymond Laoulache— Mechanical Engineering
Worcester
Jon Goguen— Molecular Genetics and Microbiology
(Doc. T94-056)
The next item was an A ppointment with Tenure, UMASS Dartmouth . It was moved, seconded and
VOTED : To concur with the President in the appointment of Dr. Lawrence B. Logan as Associate
Professor in the Department of Accounting and Finance, with tenure at UMASS
Dartmouth. (Doc. T94-061)
President Hooker, Vice Chair Karam and the Chancellors then left to attend the press conference at
the State House.
The next item was the Approval of a M.A./Ph.D. in Afro-American Studies, UMASS Amherst . Vice
Chancellor Story reported on the widespread support for this program and Trustee Poduska commended
the process of how this program came to exist. It was moved, seconded and
VOTED : To approve the Stage 1 proposal for a M.A./PH.D. in Afro- American Studies academic
degree program at UMASS Amherst as contained in Doc. T94-057.
The next item was the Establishment of the Frederick S. Troy Professorsh ip and Designation of
Lloyd Schwartz as the Frederick S. Troy Professor, UMASS Boston . Trustee McNeil reported the
dedication Frederick "Barney" Troy had shown the University as a Professor and as a Trustee and found
this to be a fitting way to honor him. It was moved, seconded and
-2-
i.
VOTED : To approve the establishment of the Frederick S. Troy Professorship at UMASS
Boston as contained in Doc. T94-058.
And further,
To designate Professor Lloyd Schwartz as the Frederick S. Troy Professor at UMASS
Boston as contained in Doc. T94-058, Addendum 1.
Trustee McNeil then reported that the Committee had heard a report on the Ad Hoc Committee on
Personnel and Diversity and a report on the School-University Collaboration which has faculty and staff
engaged in over 300 projects that cover all areas of the University.
She then thanked Ronald Story for all his work as Vice President for Academic Affairs and welcomed
Allen Sessoms to that position.
Trustee Haynes then gave the report of the Committee on Administration and Finance. The first item
was A pproval of the Quasi Endowment Policy . This item had been looked at thoroughly by the
Investment Subcommittee. Vice President Lenhardt answered questions about the 1% of the book value
of the endowment set aside for use by the President for development efforts and that any funds left over
will be re-distributed to the campuses. There was then a general discussion about the details of this
policy. It was moved, seconded and
VOTED : To amend the Cash Management Policy (Doc. T92-031, Appendix F) by inserting at the
end of Part I the following:
Quasi-Endowment : That the Treasurer's Office may segregate up to 25% of the book
value of operating cash of the University's portfolio for the purposes of creating a Quasi-
Endowment. The Quasi-Endowment shall be invested as part of the cash management
strategy of the University. Earnings from the Quasi-Endowment will be commingled
with other income generated by the University Treasurer's Office through the Cash
Management process.
Equities : The Treasurer's Office is permitted to invest up to 25% of the book value of the
Operating cash portfolio measured on each June 30 in the equity markets. This segment
of the portfolio will be subject to the volatility inherent in the equity market. Earnings
distribution from the equity component of the portfolio will be calculated such that
earnings are no less than the yield on the fixed income component and no more than the
combined weighted average yield of the portfolio in a given year.
And further,
To amend the Polio/ for Management of University Funds (Doc. T92-031) by inserting after
the first sentence in Section 12 the following:
"Annually on June 30 one percent (1%) of the book value of the quasi-endowment will be
set aside from the Trust Fund Interest earnings for use by the President of the University
for development efforts. All remaining investment..."
The next item was Approval of the FY1995 Revenue-Based Trust Fund Budg ets. This item had been
discussed in detail at the Administration and Finance meeting. It was moved, seconded and
VOTED : To approve the budgets and fee structures for the FY1995 Revenue-Based Trust Fund
Budgets at Amherst, Boston, Dartmouth, Lowell and Worcester as described in Doc. T94-
045, provided that the Medical Center Group Practice Plan and Medical Center Hospital
budgets shall be considered at a later date.
And further, to approve associated changes in Statements of Trust for the Amherst
campus as appear in said document.
The next item was Revisions to the FY1995 Continuing Education Charges, UMASS Dartmouth . It
was moved, seconded and
VOTED : To approve the revised FY1995 Budget and rate schedule for the Division of Continuing
Education at the Dartmouth campus as contained in Doc. T94-033, Addendum 1.
The e next item was Revisions t o the Motor Vehicle and Parking Regulations, UMASS Amherst. It
was moved, seconded and
VOTED : To approve the revisions to the Motor Vehicle and Parking Regulations at the Amherst
campus as contained in Doc. T82-023C.
Trustee Foley then requested that an Ad Hoc Committee of the Board study the Amherst campus's
towing policy and options that should exist where we can modify the parking necessities of the campus
and control and manage the University's public relations efforts. This would also provide the University
a chance to generate income revenue to be used for scholarships, etc. Chair Taylor then asked the
Administration at the Amherst campus to look at this issue and decide if this is a matter for the Board.
Trustee Foley suggested this be an item for the Executive Committee in October.
The next item, a routine matter, was an Authorization for Expenditure of Funds for FY1995 . It was
moved, seconded and
VOTED : To authorize the President to expend at the FY1994 rate, state and non-state funds for the
University from July 1, 1994 until such time as the Board adopts the Operating Budget for
FY1995.
Vice President Lenhardt then updated the Board on the HEFA bond bill. The House Ways and
Means staff has expressed an interest in preparing a bill which will approve each project as separate
items. This could lead to the Senate to disapprove some of the projects. On a positive note, the Division
of Capital Planning and Operations (DCPO) is moving forward with many of the capital outlay projects.
Trustee Reed was then asked to give the Report of the Ad Hoc Committee on Personnel and
Diversity. The Committee had approved the Affirmative Action Plans and Reporting Format She then
informed the Board that this Committee would be looking at each campus plan individually. At
yesterday's meeting, the Committee met to discuss a process to review diversity issues across the
campuses and the best way of funding them. It is expected a plan will brought back to the Board in
August. It was moved, seconded and
VOTED : To approve the Affirmative Action Plans for the University of Massachusetts Amherst,
Boston, Dartmouth, Lowell and Worcester campuses as contained in Doc. T94-046.
And further,
To approve the Affirmative Action Reporting Format as described in Doc. T94-054.
Chair Taylor then gave the report of the Executive Committee. The first item had been a Waiver of
Student Trustee Election Policy. UMASS Worcester . It was moved, seconded and
-4-
VOTED : To waive the Student Trustee Election Policy deadline date listed in Doc. T91-133B at the
University of Massachusetts Worcester campus for the 1994 election.
The next item was Amendment to Worcester City Campus Corporation Articles of Organization .
This would allow the Corporation to achieve tax-exempt status within the Internal Revenue Service. It
was moved, seconded and
VOTED : To approve the amendments to the Worcester City Campus Corporation (WCCC)
Articles of Organization listed in Doc. T91-121, Addendum III.
The next item was Hospital Management Board Minutes . It was moved, seconded and
VOTED : To approve the minutes of the March 23rd and April 27th, 1994 Hospital Management
Board meetings including the Unaudited Financial Statements for January, February and
March, 1994 and the appointments and reappointments for February and March, 1994.
(Doc. T94-066)
Vice President Boyd then reported on the External Affairs Committee. That Committee heard a
preliminary report on Technology Transfer Issues which will come back to this Committee at the next
meeting. There was an update on federal grants and the hiring of a Washington firm to provide
assistance in identifying opportunities. There had also been updates on fundraising with reference to the
quasi endowment policy and the University's position on the state budget.
Trustee Foley then suggested to the Board that the Hospital Finance Committee Report become a
standard agenda item on the Committee on Administration and Finance.
Trustee Lewenberg then recapped the activities of campus athletics. Some of the highlights included:
•at the Amherst campus, Coach Sortino won her 450th career softball game;
• the Men's Lacrosse team at UM ASS Boston had a great year due to the exceptional work of Jaime
Mulroney who became the first player in New England Men's Lacrosse history and the fourth
player in the nation to reach 200 goals;
•at UMASS Dartmouth, every spring season team finished with winning records. He also noted that
the Bolivian World Cup soccer team will train at UMASS Dartmouth;
•at the Lowell campus, Head Baseball coach Jim Stone achieved career win number 500 in a 28 year
career. Also, the campus is adding Women's soccer to intercollegiate sports in the Fall, 1995. This
reinforces the University's commitment to women athletes and Title IX.
Trustee Lewenberg then reported that the Board through the Athletic Committee has continually
discussed the importance of assuring gender equity in athletic programs. He then reaffirmed that
commitment and noted that the University is in the process of filing a supplemental budget request for
expenditures to assist in meeting Title IX needs in the areas of facilities enhancement for women athletes
on all four of the campuses. He also reported that Chancellor Cressy is in the process of compiling from
the four campuses, the information necessary to help put together this request.
Trustee DiCara pointed out that the Dartmouth business community has raised $25,000 to help the
Bolivian Soccer team.
Chair Taylor then paid tribute to Ronald Story for the two years of service in the President's Office.
Some of his accomplishments include the five campus library proposal, system technology task force,
(report on distance learning, the searches for Chancellor Scott and President Hooker, the Future of
Engineering Study, the Symposium on Psychology of Adversity/the White Paper on Inter-Campus
Collaboration, and the Task Force on Research and Graduate Education.
-5-
Chair Taylor then thanked the out-going student Trustees, Kevin Tobin, David Cunningham, Eric
Dickson and Stephanie Siegmann and presented them with University of Massachusetts watches. There
were then introductions of the incoming student Trustees, Timothy Purdy, Matthew Morrissey and Brian
Andriolo.
The meeting adjourned at 10:55 a.m.
Barbara DeVico
Staff Assistant
UNIVERSITY OF MASSACHUSETTS
AMHERST -BOSTON 'DARTMOUTH • LOWELL • WORCESTER
MINUTES OF THE MEETING OF THE
BOARD OF TRUSTEES
Wednesday, August 10, 1994; 9:15 a.m.
Board Room
Cumnock Hall
University of Massachusetts
Lowell, Massachusetts
Trustees and Trustee Staff : Chair Taylor; Trustees Andriolo, Bogan, Bok, DiCara, Finnerty, Flores, Foley,
Hoff, Karam, Lewenberg, Oakes, O'Leary, Poduska, Purdy, Spence, Sweeney; Vice President/Secretary to
the Board Boyd; Ms. Tuthill, Assistant Vice President for Board Relations
Trustees Absent : Trustees Haynes, McNeil, Morrissey, Reed, Robertson
University Administration : President Hooker; Chancellors Scott, Penney, Cressy, Hogan and Lazare;
General Counsel Kirby
Chair Taylor convened the meeting at 9:20 a.m. The first item on the agenda was Consideration of
the Minutes of the previous meeting of the Board. Without discussion, it was moved, seconded and
VOTED : To approve the minutes of the June 8, 1994 meeting of the Board.
Chair Taylor then introduced the new student Trustees who were in attendance. Mr. Taylor went on
to report that the Board is very pleased with the relationship that has been built with the state and which
contributed to the success that the University had in this year's budget. Mr. Taylor also noted the signs
that have indicated growth as a University system. He indicated that in the year ahead, it will be critical
to identify priorities in order to function within operational realities and position the University for the
future.
President Hooker then gave his report and began by commenting on the strength of the University
community expressed in this year's budget strategy, involving Trustees, Chancellors, students and the
President's Office. President Hooker went on to say that the Mission Enhancement Funds contributed to
the expanded activities on each campus, particularly in the area of the three University priorities, which
also leads toward the prioritization of resources. The challenge for the system this year, the President
reported, will be the reallocation of resources, and the system participation in the PEW Roundtable
Project which should greatly benefit the University in this challenge.
Under the Consent Agenda the following items were moved, seconded and
VOTED : To accept the following Auditor's Reports:
•Audit Report No. 94-8, President's Office Expenditures Audit (Doc. T94-049)
• Audit Report No. 94-9, Folio w-Up Audit - State Auditor's Report on Exercise Science
Department's Body Shop Operations, UMASS Amherst (Doc. T94-047)
•Audit Report No. 94-10, Folio w-Up Audit - International Programs Office, UMASS
Amherst (Doc. T94-048)
• Audit Report No. 94-11, Contractual Compliance, Campus Bookstore, UMASS Boston
(Doc. T94-052)
• Audit Report No. 94-12, Federal Indirect Costs Review, UMASS Boston (Doc. T94-053)
•Audit Report No. 94-13, Bursar's Office Automated Check-Writing System Follow-Up
Report, UMASS Boston (Doc. T94-069)
•Audit Report No. 94-14, State Audit No. 90-6005-9 Follow-Up Report and a Review of
Parking Garage Administration and Control, UMASS Boston (Doc. T94-070)
To accept the following External Audit Firm Reports:
•Audit Report No. 94-19E, Intercollegiate Athletic Program, UMASS Lowell, NCAA
Report (Doc. T94-050)
•Audit Report No. 94-20E, Intercollegiate Athletics Program, UMASS Lowell,
Consolidated Statement of Revenues and Expenditures, (Doc. T94-051), UMASS Lowell
And further,
VOTED : To strike out from the declarations page of the self-insurance program, the words "From
July 1, 1993 to July 1, 1994" and to insert therein the words "From July 1, 1994 to July 1,
1996";
And further,
To strike out from the declarations page of the self-insurance program, the words
"$9,000,000 Total Limit for Parts 1 and 2 Combined" and to insert therein the words "
$12,000,000 Total Limit for Parts 1 and 2 Combined." (Doc. T93-126A)
In Trustee McNeil's absence, Chair Taylor gave the report of the Committee on Academic and
Student Affairs. The first item was Awards of Tenure, UMASS Amherst, Boston, Lowell and Worcester .
It was moved, seconded and
VOTED : To concur with the President in the award of tenure to the following individuals in the
following Departments:
Amherst
Anne Averill, Entomology
Yon-Chun Chou, Industrial Engineering & Operations Research
Jeanette Cole, Art
Susan Han, Plant & Soil Sciences
Marcellette Williams, English
Boston
Elizabeth Fay, English
Marietta Schwartz, Chemistry
Lynne Tirrell, Philosophy
Lowell
John Buford, Computer Science
Robert Karasek, Work Environment
Efrem Mallach, Manufacturing & Management Information Systems
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Margaret Manion, Promotion to Librarian III & Tenure
Sammy Shina, Mechanical Engineering
Chris Tilly, Policy & Planning
Worcester
Craig Ferris, Psychiatry (Doc. T94-072)
The next item was A ppointments with Tenure, UMASS Amherst, Boston . It was moved, seconded
and
VOTED : To concur with the President in the appointments with tenure to the following
individuals in the following Departments:
Amherst
Arturo Escobar, Anthropology
Li la Gierasch, Chemistry
Derek Lovely, Microbiology
Boston
Woodruff Smith, History (Dean of the Liberal Arts Faculty in the College of Arts and
Sciences)
(Doc. T94-073)
The next item was Designation of Distinguished Professor, UMASS Amherst . It was moved,
seconded and
VOTED : To designate Dr. H. Henning Winter as Distinguished Professor at UMASS Amherst as
contained in Doc. T94-076.
Chair Taylor then commented on the next item, Future of Engineering . There had been much
discussion at the Committee meeting, and he asked Vice President Sessoms to provide background on the
engineering vote. Vice President Sessoms reminded the Board that the study was established out of a
need to coordinate the future of engineering due to duplication of programs in the face of budget
constraints. The recommendations are for the entire system, and they require significant cooperation
among the campuses. The discussion with the deans and the campus leadership has been very positive,
and the task force which the vote will establish, will move the University closer to a better and more
efficient engineering program. It was moved, seconded and
VOTED : To commend the Engineering Study Team for its outstanding Report on the engineering
programs of our constituent campuses.
And,
To authorize and direct the President to commence implementation of the Report's
recommendations as follows:
Individual Campus Implementation of Report Recommendations 5,7,8,10,11,12
1. To direct each campus to begin implementation of Report Recommendations 5, 7, 8, 10,
11 and 12. Chancellors shall report to the President and the Board no later than October,
1995 on steps taken by their respective deans to begin implementation of this set of
recommendations.
Collective Implementation of Report Recommendations 1,2,3, 4, 6, 9, 13
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2. To appoint a Task Force, to be chaired by the Vice President for Academic Affairs and
including the engineering deans from Amherst, Dartmouth and Lowell and the Dean of
the Faculty of Sciences at Boston, and one or more representatives from industry. The
Charge of the Task Force will be: 1) to develop a long-term plan for the implementation
of Report Recommendations 1, 2, 3, 4, 6, 9 and 13, and especially for the development and
allocation of programs, facilities and faculty positions within the System, and, within the
constraints of limited resources; 2) to invite collaborative proposals in
telecommunications engineering and other new fields highlighted by the Report; and 3)
to proceed with the development of a Boston-area undergraduate program through the
deployment of existing resources.
In carrying out its charge, the Task force shall work within the following constraints:
- There should be no new free-standing, single-campus undergraduate or graduate
engineering programs not already approved by the Board. Exceptions may be
recommended to the Committee on Academic and Student Affairs only where a campus
can clearly demonstrate to the satisfaction of the Task Force that it can offer such a
program without incurring additional costs, or can cover all new costs from internal
reallocation, including program closures or reductions, and that it can meet standard
criteria for program approval.
- Lacking guidance from the Task Force for reallocating engineering resources from
campuses with excess capacity to campuses with need by the December 7, 1994 Board
meeting, there should be no net new state-funded faculty positions in engineering within
the System. An exception to this guideline may occur where the addition of such
positions is clearly intended to increase faculty diversity and such position is approved
by the Board.
- There should be no new engineering facilities except those already initiated and in the
construction stage. Where possible, facilities already in the construction stage shall
include full distance education capacity and shall be supported by substantial non-state
funding.
The foregoing will be in effect as interim measures until the Board takes other actions in
light of recommendations made by the Task Force.
And,
To direct the President to report on the progress of the Task Force to the Board at its
December meeting and regularly thereafter. (Doc. T94-074)
The next item was A pproval of the Master of Arts in Dispute Resolution, UMASS Boston . It was
moved, seconded and
VOTED : To approve the Stage II proposal for a Master of Arts in Dispute Resolution at UMASS
Boston as contained in Doc. T93-028, Addendum 1.
Chair Taylor turned to Trustee Spence for the report on the Committee on Administration and
Finance. Trustee Spence began by reiterating the comments of Chair Taylor and President Hooker in
regards to this year's budget strategy, and noted her pleasure at the particular item on the agenda which
reflects the University's success this year, the tuition and fee rollback.
-4-
Trustee Spence then turned to Trustee Hoff to comment on the item Workforce Redesign Policy,
UMASS Worcester . Trustee Hoff noted that the Personnel and Diversity Committee was satisfied with
the report and discussion at their meeting on this policy. It was moved, seconded and
VOTED : To approve the Workforce Redesign Policy at UMASS Worcester as contained in Doc.
T93-079, Appendix 1, as amended. Further, to rescind Doc. T83-068A, and all other
policies (or any part thereof) currently in effect in the University which are consistent
herewith.
Trustee Spence then gave the report of the Committee on Administration and Finance. The first item
had been FY1995 Student Fees . It was moved, seconded and
VOTED : To approve the revised Curriculum Support Fee rates for FY1995 at the University of
Massachusetts Amherst, Boston and Lowell campuses:
Current FY95 Fee Revised FY95 Fee
Amherst $2,138 $2,031
Boston $1,814 $1,780
Lowell $2,736 $2,646
(Doc. T94-033, Addendum 1) --
The next item was the FY1995 State Appropriation Allocations . President Hooker noted that the.
process of allocating state funds was an iterative one involving several meetings with the campus '
Chancellors. It was moved, seconded and
VOTED : To approve the following FY95 state appropriation allocations:
Amherst $163,973,085
Boston 60,446,943
Dartmouth 33,517,605
Lowell 52,434,468
Worcester 24,021,795
Institute for Governmental Services 517,189
TOTAL $334,911,085
Further, to authorize the President to make adjustments to the campus allocations for
support of the President's Office and Central Administrative Services to be reflected in
the final allocation schedule submitted to the state. (Doc. T94-078)
The next item was the Learning Center, UMASS Worcester. Trustee Spence noted the significance of
this project for the Medical School, particularly as a fundraising effort, and Chancellor Lazare briefly
described the structure. It was moved, seconded and
VOTED: To approve the construction of the Learning Center at the University of Massachusetts
Medical Center. (Doc. T94-079)
Trustee Spence asked Vice President Lenhardt to comment on the capital strategy. Vice President
Lenhardt noted that the administration is working on an alternative strategy for financing up to $15
million for capital projects, possibly through the Building Authority.
-5-
Trustee Lizana then commented on the Rollback of the Student Fees and the importance of the
Board's vote, calling it a milestone for all public institutions, and he further noted that this issue is the
most important to students. He further praised the strategy used in this year's budget efforts, and
reiterated the need to be as coordinated in the next budget session.
Chair Taylor then gave the report of the Executive Committee. The first item was Amendments to
the By-Laws, and Chair Taylor noted that these changes reflect the current practices of the Board and
committees. It was moved, seconded and
VOTED : To approve the following amendments to the By-Laws of the Board of Trustees of the
University of Massachusetts (Doc. T91-100):
Article EL Meetings of the Board, is hereby amended by the following:
Section 2. Notice
(b) by striking the word three and inserting the word two.
Section 4. Consent Agenda
By striking the word Trustee in the first sentence and inserting the words Committee
members;
By striking the word member in the third sentence and inserting the word Trustee.
Section 6. Order of Business
By striking V. Committee of the whole and inserting the words Consent Agenda;
By striking VI. Reports of Special Committees;
By striking VII. Status of Pending Matters.
Section 7. Executive Sessions
(a) By striking the words in advance of the meeting in the second sentence and inserting
the words before the executive session.
Article HI. Committees of the Board, is hereby amended by the following:
Section 2. Members of the Standing Committees
(c) By adding the word voting before member ex officio. . .
Section 3. Committee Meetings
(d) By striking the word Joint Meetings and inserting Assignment of Agenda Items/Joint
Meetings.
Section 4. Agenda of Committee Meetings.
By adding the word the in the fourth paragraph after the word By and before President.
Section 5. Responsibilities of Standing Committees
By striking said Section and replacing it with the following:
The Chair may appoint sub-committee(s) of any standing committee to assist the full
committee in carrying out its duties and responsibilities. Said sub-committees shall be
assigned to a full standing committee.
(a) The Executive Committee shall have the responsibility of considering, reviewing, and
making recommendations to the full Board on matters affecting the Board, the University
and its general administration including but not limited to:
i. appointment of the President and concurrence in the President's appointment of
Chancellors;
ii. honorary degree candidates;
iii. master plans of the University and recognition of governance bodies;
iv. any other matters which the Chair or the President with the approval of the
Chair wishes the committee to consider.
(b) The Committee on Academic and Student Affairs shall have the responsibility of
considering, reviewing and making recommendation to the full Board on matters
concerning academics and students at the University including but not limited to:
i. policies involving academic programs and research, including the quality,
character, and scope of instruction and research, admissions, financial aid,
graduation, curriculum, degrees, support programs, and public service activities;
ii. policies involving student affairs, activities and services;
iii. policies involving faculty status other than collective bargaining issues or
personnel policies;
iv. President's recommendations for award of tenure.
(c) The Committee on Administration and Finance shall have the responsibility of
considering, reviewing, and making recommendations to the full Board on matters
relative to the administrative operation and fiscal management of the University
including but not limited to:
i. the annual state budget request and the annual operating budget including the
allocation of funds to the campuses and other operating units of the University;
ii. the annual financial statement(s) of the University and the campuses;
iii. tuition and fees and student fee and major trust funds budgets;
iv. investment policies, grants and contracts policies and compensation policies;
v. property, real and personal of the University including its acquisition,
disposition, management and control;
vi. capital budgets and bond financing;
vii information technology policies and plans;
viii. personnel matters including policies on personnel, labor relations and collective
bargaining policies and agreements;
ix. affirmative action policies and implementation.
(d) The Athletic Committee shall have the responsibility of considering, reviewing and
making recommendations to the full Board on matters concerning intercollegiate athletics
at the University including but not limited to:
-7-
i. master athletic plans including athletic affiliations and overall athletics
development;
ii. policies involving athletic departments, activities and services.
(0 The Audit Committee shall have the responsibility of considering, reviewing and
making recommendations to the full Board on matters relative to financial control and
auditing of the University including but not limited to:
i. initiation of audits;
ii. audits of the University and its components and affiliates.
In addition, the Audit Committee shall have the final authority to review and approve
the selection of external audit firms and the deployment of auditors pursuant to the
Audit Protocols.
(e) The External Affairs Committee shall have the responsibility of considering,
reviewing and making recommendations to the full Board on matters relative to the
University's relationships outside the University including but not limited to:
i. fundraising and development policies and initiatives;
ii. government relations and advocacy;
iii. policies and initiatives concerning economic development, technology transfer,
industry partnerships and sponsorships.
The next item was the Department of Defense Exclusion List. It was moved, seconded and
VOTED : WHEREAS, current Department of Defense Regulations contain a provision
making it mandatory that the Chairman of the Board, the President, the
Secretary and the designated Facility Security Officer meet the personnel
clearance requirements established for a contractor's facility clearance; and
WHEREAS, said Department of Defense Regulations permit the exclusion
from the personnel clearance requirements of certain members of the Board
of Trustees and other officers, provided that this action is recorded in the
minutes.
NOW, THEREFORE, BE IT DECLARED that the Chairman of the Board,
the President, the Secretary and the designated Facility Security Officer at the
present time do possess or will be processed for the required security
clearance; and
BE IT RESOLVED that in the future, when any individual enters upon any
duties as Chairman of the Board, the President, Secretary or other person
designated as Facility Security Officer, such individual shall immediately
make application for the required security clearance; and
BE IT RESOLVED FURTHER that the following members of the Board of
Trustees and other officers shall not have, and can be effectively excluded
from access to all classified information in the possession of the corporation
>
and do not occupy positions that would enable them to affect adversely
policies or practices in the performance of classified contracts for the
Department of Defense or the User Agencies of its Industrial Security
Program:
I
NAME
TITLE
Brian Andriolo
Trustee
Daniel E. Bogan
Trustee
Derek C. Bok
Trustee
Lawrence S. DiCara
Trustee
Joseph S. Finnerty
Trustee
Heriberto Flores
Trustee
Michael T. Foley, M.D.
Trustee
Robert J. Haynes
Trustee
Charles Hoff
Trustee
Robert S. Karam
Trustee
Peter K. Lewenberg
Trustee
Arnold J. Lizana, III
Trustee
Ogretta V. McNeil
Trustee
Matthew Morrissey
Trustee
Gordon N. Oakes, Jr.
Trustee
James F. O'Leary
Trustee
J. William Poduska, Sr.
Trustee
Timothy Purdy
Trustee
Mary L. Reed
Trustee
Piedad F. Robertson
Trustee
Rina K. Spence
Trustee
Timothy Sweeney
Trustee
roval of the Hospital Manae
ement Board Minutes
>
expected the Board will approve the Hospital Budget at the October meeting. It was moved, seconded
and
VOTED : To approve the minutes of the May 18, 1994 Hospital Management Board minutes
including the Unaudited Financial Statement for April, 1994, and the appointments and
reappointments for April, 1994.
And further, to approve the Medical Staff By-Laws changes which had been approved by
the Hospital Executive Committee. (Doc. T94-080)
The next item was the approval of an Honorary Degree. UMASS Boston . It was moved, seconded
and
VOTED : To award an honorary degree to that individual agreed upon in Executive Session and to
instruct the Chancellor to proceed with the necessary arrangements.
In the absence of Trustee Haynes, Vice President Lenhardt reported that the Audit Committee had
selected the outside auditor for UMASS Boston, and that at the October meeting, the Board will receive
the audit plan for 1994-95.
Under Other Business . Chair Taylor turned to Chancellor Scott who introduced two new Vice
Chancellors: Provost Patricia Crosson and Frederick Byron, Vice Chancellor for Research and Graduate
Education.
*
Chair Taylor then announced that Trustee Flores would reactivate the previously established
Infrastructure Committee. Chair Taylor also announced the membership of the Nominating Committee
as Trustees Haynes, Chair; Trustees DiCara, Finnerty and Reed. The Committee is charged with
nominating candidates for election as officers of the Board of Trustees and as chairs of the standing
committees.
There being no further business to come before the Board, the meeting adjourned at 10:00 a.m.
Elizabeth H. Tuthill
Assistant Vice President for Board Relations
>
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UNIVERSITY OF MASSACHUSETTS
AMHERST 'BOSTON • DARTMOUTH • LOWELL • WORCESTER
MINUTES OF THE SPECIAL MEETING OF THE
BOARD OF TRUSTEES
Friday, September 23, 1994; 3:00 p.m.
Faculty Conference Room
Medical Center
University of Massachusetts
Worcester, Massachusetts
Trustees and Trustee Staff : Chair Taylor; Trustees Andriolo, Foley, Haynes, Karam, Lewenberg, McNeil,
O'Leary and Sweeney; Ms. Farrell, Assistant Vice President for Board Relations
Trustees Absent : Trustees Bogan, Bok, DiCara, Finnerty, Flores, Hoff, Lizana, Morrissey, Oakes,
Poduska, Purdy, Reed, Robertson and Spence
University Administration : President Hooker; Chancellor Lazare; General Counsel Kirby
Chair Taylor convened the meeting at 3:15 p.m. noting that over the past year, the Medical Center
Administration has been involved in long-range planning in light of the tremendous changes occurring in
health care. The process has involved the campus administration, the President's Office, APM, Inc.
consultants and the Trustees beginning with a lengthy and eye-opening meeting in August, 1993. After
becoming Chair, Mr. Taylor appointed a Trustee Task Force to work with the President and Chancellor,
chaired by Vice Chair Karam. During the past year, Trustee Karam has met with administrators,
consultants, and Board members from potential partner hospitals.
Chair Taylor went on to say that in addition to the external negotiations the planning process made
clear that we must also focus on internal operations, and Trustee Karam worked closely with Chancellor
Lazare and Vice President Lenhardt on the Hospital and Group Practice budget. On behalf of the Board,
Chair Taylor thanked Trustee Karam for the extensive work he has done for the Medical Center. Chair
Taylor identified that another aspect of internal work is the need to focus on how decisions are made, and
realizing the opportunities while avoiding risk. The consultants and Chancellor Lazare have advised that
the Board needs a cohesive, integrated clinical system with one chief executive to oversee all clinical
operations internally and represent all clinical operations externally. Chair Taylor then called on Vice
Chair Karam.
Trustee Karam commented on the extensive work that he had been involved in over the past year,
and congratulated Chancellor Lazare and his staff, the consultants, and the strategic planning staff for
making these changes to adapt to the changing climate. He reflected on the issues that impact on the
Medical Center, including insurance rates and finances. Trustee Karam noted that the goal is to reduce
costs by $40 million over the next 3-4 years while retaining quality and service, which will be made
possible with the proposed changes. He offered thanks to the Chairman of the Hospital Management
Board, Joseph Benedict, indicating the importance of Mr. Benedict's work and influence in building the
Medical Center.
Chair Taylor then called on President Hooker. President Hooker reflected on the learning experience
he has had regarding teaching hospitals from Chancellor Lazare, and thanked the Chancellor for looking
at the future of medical education and the hospital, based on extensive change in the market place and
increased competition. The greatest challenge, he said, was to reduce the costs while maintaining and
increasing the quality of care. President Hooker then thanked Trustee Karam, Chancellor Lazare and
General Counsel Kirby for all of their work on this restructuring.
Chancellor Lazare then spoke to the tripartite mission: education, research and clinical care. He
noted that there had been crises in the first two areas that had been rectified over the past two years with
changes in curriculum, governance, and administration. The changes in the area of clinical care has called
for radical changes which would not have been possible without the support of the Trustees, and the new
Clinical Management Board will bring the Board of Trustees to a greater level of involvement as well as
establish strong leadership from a new Deputy Chancellor for Clinical Affairs. Chancellor Lazare
thanked Mr. Benedict and Dr. Frieswick for their strong leadership over the years, particularly these past
few years of change. Chancellor Lazare then called on the following people to speak: Mr. Benedict, Dr.
Arthur Pappas, Dr. William Lavelle, Dr. David Giansiracusa (speaking for Dr. Blacklow), and Dr. Gail
Frieswick.
Chair Taylor then moved to the action items, the first being Revisions to the By-Laws of the
Clinical Operations of the UMASS Medical Center . Chair Taylor noted that with this vote, the by-laws
expand the focus of the Hospital Management Board to include clinical operations. Mr. Taylor further
noted that these changes increase the involvement of the UMASS Trustees, who, in turn, will also involve
physicians and the community more closely. He again expressed thanks to Mr. Benedict for his
dedication to the Medical Center and work as the Chair of the HMB. Chancellor Lazare asked that the
Board entertain future changes in the by-laws and other Medical Center policies to fully include all
concerns of the Medical Center community and complete the integrated clinical system strategy.
It was moved, seconded and
VOTED :
WHEREAS, the Worcester Campus (Medical Center) administration and its expert consultants have
spent the past year in an intensive study and long range planning process;
WHEREAS, changes in health care delivery nationally and in central Massachusetts require rapid,
effective decision-making concerning clinical operations at the Medical Center;
WHEREAS, the Chancellor, President and Trustees would find it helpful to have a group of
dedicated individuals regularly involved in overseeing the total clinical operations and activities of
the Medical Center which comprise approximately forty percent of the University's annual operating
budget;
NOW THEREFORE BE IT RESOLVED, to adopt the attached By-Laws of the Clinical Operations of
the University of Massachusetts Medical Center which substantially amend and supersede Sections I
and II through Article rV, Part C of the former By-Laws of the Hospital (Doc. T78-093, as amended)
and which establish a Clinical Management Board to oversee all clinical operations of the Medical
Center;
PROVIDED FURTHER, to request the Chair of the Clinical Management Board, the Chancellor of
the Medical Center and the Deputy Chancellor for Clinical Affairs to make recommendations to the
Board prior to its October meeting of Medical Staff and community members for appointment to the
Clinical Management Board; and
PROVIDED FURTHER, to express the Board's deep gratitude to the members of the Hospital
Management Board and the Chairman, Joseph Benedict for their important service to the University
and especially the Worcester campus over the past years.
This action shall become effective immediately provided, however, that the former Hospital
Management Board shall continue in effect until October 31, 1994 to permit a smooth transition with
the new Clinical Management Board. (Doc. T94-099)
-2-
And, it was moved, seconded and
VOTED : To appoint George McClelland as Chair of the newly constituted Clinical
Management Board. (Doc. T94-101)
Trustee Foley commented on the extraordinary leadership of Mr. McClelland over the past few years,
and the Board's confidence in his new role as Chairman of the new Board.
And further, it was moved, seconded and
VOTED :
WHEREAS, the Worcester campus (Medical Center) administration and its expert consultants have
spent the past year in an intensive study and long range planning process;
WHEREAS, the changes in health care delivery and in payment methods nationally and particularly
in central Massachusetts call for integrated health care delivery systems incorporating all forms of
health care;
WHEREAS, the Medical Center needs an efficient internal clinical system speaking in a single voice
in negotiations and discussions with external contractors (primary care physicians, hospitals etc.) and
payers in order to compete as part of an integrated delivery system;
NOW THEREFORE BE IT RESOLVED, upon recommendation of the Chancellor of the Medical
Center and with the concurrence of the President, to appoint Arthur R. Russo, M.D. as Deputy
Chancellor for Clinical Affairs to act as the chief executive officer of all clinical operations of the
Medical Center. Dr. Russo shall have primary responsibility for all clinical operations including, but
not limited to personnel (recruitment, assignment and evaluations of all clinical professionals),
finances (income and expenditures) facilities and planning. Examples (non-inclusive) of the
responsibilities and duties of the Deputy Chancellor for Clinical Affairs include:
overall clinical strategic planning
development and oversight of a clinical investment fund
planning for purchasing of and partnering with other clinical facilities
oversight of managed care strategy and contracts
planning and management of clinical affiliations and strategies
coordination of UMMC external residencies in collaboration with the Office of the Dean
development and management of the budgetary process for the clinical entities (hospital,
group practice, others) for presentation to the Campus Management Board and the Board
of Trustees
development of the clinical budget for clinical departments and participation in
developing combined budgets (includes education and research) for clinical departments
with the Chancellor, Dean, Vice Chancellor for Research, and Vice Dean for Medical
Education.
determination of administrative reimbursement in consultation with the Chancellor
setting priorities for capital investment for the clinical system
allocation of clinical space, staff, and other resources
development of productivity and incentive standards for clinical faculty in consultation
with clinical chairs
oversight of the optimal size and discipline of clinical faculty with special reference to
recruitment in consultation with clinical chairs
departmental allocation of residents and fellows in collaboration with the Dean's office
management of global fees and related pricing strategies
oversight of overall quality and customer satisfaction
determination of Clinical Centers of Excellence
management of combined medical information systems for the clinical system.
Provided further, that Dr. Russo shall report to the Board and/or its appropriate committees as
directed by the Chair and President concerning his plans for the clinical operations of the Medical
Center as soon as possible after he has met with the newly established Clinical Management Board
and conferred with appropriate Medical Staff. Such report shall include any recommendations for
additional Board action to modify clinical operations By-Laws, Group Practice rules or regulations,
Medical School governance document or any other documents that have been superseded by this
action.
This action shall become effective immediately and it shall supersede any contrary provisions of pre-
existing trustee documents including but not limited to T81-024C, T78-093 (as amended) and T79-
042B. (Doc. T94-102)
And, it was further
VOTED : To reconstitute the membership of the Worcester City Campus Board of Directors as
follows:
Arthur R. Russo, Gail Frieswick, Stephen Lenhardt and Derrick Hollings to serve as
directors with Dr. Russo as President, Mr. Lenhardt as Treasurer, and Mr. Hollings as
Clerk.
And further,
VOTED : To amend the Self-Insurance Trust Governance Document (T90-056) as follows:
Paragraph 3 is amended by inserting the word "University" before "Investment Policy"
and the words "and the Board of Trustees" at the end thereof.
Paragraph 5 is amended by inserting 'The Chancellor, the President and" after "to".
The membership of the Management Committee and the Claims Committee is amended
to add the Deputy Chancellor for Clinical Affairs as a member.
Paragraph numbered 1 under the subheading Underwriting Functions is amended by
adding "The Committee will submit proposed changes in the Program to the Board of
Trustees for approval".
Chair Taylor then called on Dr. Arthur Russo. Dr. Russo expressed his thanks to the Board, the
President, the Chancellor and his colleagues for their support and for the opportunity for the Medical
Center to grow and respond to the changing world of medicine and health care. He thanked Dr. Pappas
for his work which set the stage for this restructuring and also thanked Dr. Frieswick, Dr. Michael Green,
Dr. Blacklow, and Dr. Lavelle. Dr. Russo further recognized the extensive efforts of the Trustee Task
Force, particularly Trustees Karam, Taylor, Lewenberg and Foley, and the work of the President's Office
Staff. He then expressed his thanks to all of the clinical chairs. He recognized the importance of
integrating the clinical operations within the educational system to advance primary care, and noted the
commitment of the institution to quality care at low cost providing access to people in need.
Chair Taylor then noted that another member of the Trustees had joined the meeting and, having
read all of the motions, should have the opportunity to cast a vote. Chair Taylor then asked for a motion
to ratify all five votes previously taken.
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1 It was moved, seconded and
VOTED; To adopt all five votes previously set forth.
Chair Taylor adjourned the meeting at 3:55 p.m.
Elizabeth TuthillFarrell ^ A
Assistant Vice President for
Board Relations
I
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UNIVERSITY OF MASSACHUSETTS
AMHERST 'BOSTON • DARTMOUTH • LOWELL • WORCESTER
MINUTES OF THE MEETING OF THE
BOARD OF TRUSTEES
Wednesday, October 5, 1994
V.I.P. Room
Mullins Center
University of Massachusetts
Amherst, Massachusetts
Trustees and Trustee Staff : Chair Taylor; Trustees Andriolo, Bogan, Bok, DiCara, Finnerty, Flores, Foley,
Hoff, Karam, Lewenberg, Lizana, Morrissey, Oakes, O'Leary, Purdy, Reed, Robertson, Spence, Sweeney;
Vice President /Secretary to the Board Boyd; Ms. Farrell, Assistant Vice President for Board Relations
Trustees Absent : Trustees Haynes, McNeil, Poduska
University Administration : President Hooker; Chancellors Scott, Penney, Cressy, Hogan and Lazare;
General Counsel Kirby
Chair Taylor convened the meeting at 9:30 a.m. The first item on the agenda was Consideration of
the Minutes of the previous meeting of the Board. Without discussion, it was moved, seconded and
VOTED : To approve the minutes of the August 10, 1994 meeting of the Board.
The next item on the agenda was the Chair's Report . Chair Taylor noted that the University's quest
for external funding to advance the mission had been very successful in the month of September with
$19.8 million granted. He identified some of the particular grants, encouraged the campuses to continue
to pursue such extraordinary grants, and congratulated those who had been successful in achieving this
level of funding.
The next item on the agenda was the President's Report . The first area of President Hooker's Report
was the FY96 budget and he said that the request reflects the recommendations of the pending Fair Share
Funding Task Force legislation. The President then reported on the PEW Roundtable discussions which
have been held, saying that there is a great deal that has been discussed and much more needs to be
shared in order to bring everyone into the same assumptions. President Hooker then discussed the
possibility of the Amherst campus moving into Division 1A in football, citing the fact that all of the
campus's aspirant peers have Div. 1A football, and that those campuses use football to cultivate their
community, their alumni, their legislatures, and their Governors. Two important considerations are
joining a current football conference and continuing to improve on the campus's Title IX standing. Lastly,
the President noted that there is currently some significant resource sharing among two campuses-
Boston and Lowell—who are sharing faculty from certain engineering programs.
Chair Taylor then introduced the Consent Agenda . It was moved, seconded and
VOTED : To approve the following votes listed as items #1-9 on the Board Consent Agenda:
To approve the FY1995 Hospital Operating Budget as contained in Doc. T94-045,
Addendum 1.
And further,
And,
To reaffirm the following vote taken by the Board on February 3, 1993:
The University of Massachusetts Medical School Teaching Hospital Trust Fund
reasonably expects to reimburse, from the proceeds of debt to be incurred by the
University expenditures to be advanced for the following project: real estate and
equipment acquisition and building construction, improvements and renovation for the
Cancer Program, the Joseph T. Benedict Building and the Worcester City Campus. The
maximum principal amount of debt expected to be issued for such project, including for
reimbursement purposes is $16.1 million.
To approve the FY96 State Budget Request Guidelines which will be utilized in
developing a request to the state for support in the next fiscal year. (Doc. T94-097)
And further,
To authorize the President to prepare and submit the FY96 State Appropriation request
using approved Budget Request Guidelines and in consultation with the External Affairs
Committee.
And,
To accept the FY1994 Treasurer's Investment Report as contained in Doc. T94-091.
And further,
To amend the Cash Management Policy by striking the following:
IV. Investment Banks:
6. The institution must adhere to the University's policy on Investment which states
"The University will not invest in any company or lending institution which, either
directly or through its subsidiaries or affiliates, does business in or with the Republic
of South Africa or in countries with similar apartheid racial policies."
And,
To add the following language:
III. Investment Policies and Restrictions:
k. Equities - Equity securities may be purchased such that this segment of the portfolio
does not exceed 25% of the total portfolio value. External portfolio managers will
manage this segment of the portfolio. Portfolio weighted average quality will be
maintained at no less than A.
And further,
To approve the amendments clarifying existing activity or grammar listed in Doc. T92-
031, Appendix F, as amended.
And,
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To approve the amendments to the Medical Malpractice Trust Investment Policy listed in
Doc. T90-056A, as amended.
And further,
To approve the Policy on Mobile Telecommunications Device as listed in Doc. T94-030.
And,
To approve the Policy on Individual Transaction Funds Control as listed in Doc. T94-031.
And further,
To authorize the Chancellor of the Worcester campus, with the approval of the Division
of Capital Planning and Operations, to lease for five years approximately 33,400 net
usable square feet of office space near the Worcester campus for the use of the Group
Practice Plan, Information Resources Department and Continuing Medical Education.
And,
To authorize the Chancellor of the Worcester campus, with the approval of the Secretary
of Administration and Finance, to lease for five years approximately 4,500 square feet of
space near the Worcester campus in order to operate a satellite clinic in Psychiatry. (Doc.
T94-093)
And further,
* That the income from the Murray Lincoln Fund be transferred into the President's
Program Fund to be expended in accordance with the guidelines for such Fund set forth
in Doc. T94-098.
The next item on the agenda was the report of the Committee on Academic and Student Affairs.
Trustee DiCara, who chaired that meeting in the absence of Trustee McNeil, reported for the Committee,
and introduced the first item, Associate of Science Degree, UMASS Amherst . It was moved, seconded
and
VOTED : To approve the Associate of Science Degree with Individual Concentration (Stage II)
academic degree program at UMASS Amherst as contained in Doc. T94-085.
The next item on the agenda was the Joint Ph. D. in Nursing, UMASS Boston and UMASS Lowell .
It was moved, seconded and
VOTED: To approve the joint Ph.D. in Nursing (Stage I) academic degree program at UMASS
Boston and UMASS Lowell. (Doc. T94-086)
The next item on the agenda was the A ppointment with Tenure, UMASS Dartmouth . It was
moved, seconded and
VOTED: To concur with the President in the appointment of Dr. Benjamin Taggie as Professor in
the History Department, with tenure at UMASS Dartmouth. (Doc. T94-087)
The next item on the agenda was the Termination of Faculty, UMASS Lowell . Trustee DiCara
reminded the Board that this vote is a requirement in the faculty contract at that campus. It was moved,
seconded and
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VOTED; To authorize the Chair of the Board to send notice of termination effective May 31, 1995
to faculty members at UMASS Lowell as contained in Doc. T94-089.
Chair Taylor then called on Mr. Frank Olbris who had requested to speak before the Board. Mr.
Olbris not being present, Chair Taylor turned to Trustee Spence to report on the Committee on
Administration and Finance. Trustee Spence noted that several of the items from her Committee had
been voted on the Consent Agenda, and the first item for action was the FY1995 Operating Budg et.
Trustee Spence noted that the Committee had heard reports from the Chancellors and from University
Budget Director Valerie Uber. It was noted that this budget does not include the Group Practice Budget
of the University Hospital. It was moved, seconded and
VOTED: To approve the FY1995 Operating Budget for the Amherst, Boston, Dartmouth, Lowell
and Worcester campuses, the Maurice Donahue Institute for Governmental Services, the
President's Office and Central Administrative Services as contained in Doc. T94-062.
The next item on the agenda was Capital Financing . Trustee Spence reminded the Board that these
projects have been before the Board for some time, and deal with substantive and important capital
projects; Trustee Spence further thanked Trustee Flores for his previous work on the five campus'
infrastructure which laid the groundwork for this effort. It was moved, seconded and
VOTED : WHEREAS, University of Massachusetts Building Authority (the "Authority") is
authorized by Chapter 773 of the Acts of 1960, as amended, among other things, to
provide dormitories, dining commons and other buildings and structures for the use of
the University of Massachusetts (the "University"), its students, staff and their
dependents and certain organizations related to the University, to alter, enlarge,
reconstruct, remodel and do other work in or upon or respecting any building or
structure, to provide and install furnishings, furniture, machinery, equipment and
facilities in or for or related to any such building or structure and to initiate projects for
such purposes upon written request made by authority of the Trustees (the 'Trustees") of
the University and upon written approval from the Commissioner of Administration and
the Chancellor of the System of Public Higher Education (the "Chancellor"); and
WHEREAS, in the judgment of the Trustees it is in the best interests of the University, its
students, staff and their dependents and said organizations that the Authority initiate the
projects described by the following:
NOW THEREFORE, BE IT RESOLVED THAT:
1. The President of the University be and he hereby is authorized in the name and
on behalf of the Trustees to make a written request of the Authority that the
Authority initiate the projects set forth on Schedule A attached hereto.
(a) any or all of the projects set forth on Schedule A attached hereto; and
(b) any other renovation, repair, remodeling or other work in or upon or respecting
any building or structure owned or used by the University or the Authority, or
the provision, installation, renovation, repair or remodeling of or other work
upon or respecting any furnishings, furniture, machinery, equipment or facilities
with respect to any such building or structure, all as may be requested of the
Authority in writing from time to time by the President or Vice President and
Treasurer of the University, the making of any such request being hereby
authorized;
2. The projects to be initiated by the Authority in accordance with the request
authorized to be made in Section 1 of this resolution may in the discretion of the
Authority be undertaken separately or together for financing purposes; and
3. The President of the University and all other officers of the University be and
they are and each acting singly is authorized and directed to request the
Commissioner of Administration and the Chancellor to approve in writing the
undertaking by the Authority of the projects a request for which is hereby
authorized and to do such other things and to take such other action as to the
officer or officers so acting shall, as conclusively evidenced by their taking the
action hereby authorized, deem necessary or desirable to be done or taken to
carry into effect the matters hereby authorized. (Doc. T92-118, Addendum 6, Part
Three)
The next item on the agenda was the Authorization for Intercampus Loan or Initiation of Project
with SMU Building Authority . Trustee Spence noted that this is related to the capital finance vote and is
taken separately due to the immediate needs of the campus. It was moved, seconded and -
VOTED: WHEREAS, there is an immediate need to repair steam lines at the Dartmouth campus,
NOW THEREFORE BE IT RESOLVED,
The President of the University is authorized (1) pursuant to Doc. T92-031 to approve an
inter-campus loan to the Dartmouth campus from the University's cash float in an
amount not to exceed $600,000, to be repaid with interest at the prime rate of interest to
be determined by the University Treasurer, from the proceeds of the University of
Massachusetts Building Authority bonds to be issued for emergency capital needs; or (2)
to make a written request of the Southeastern Massachusetts University Building
Authority to initiate a project for repair of the steam lines. In the event that the project is
initiated by the Authority in accordance with this resolution the President and all other
officers of the University be and they are and each acting singly is authorized and
directed to request the Commissioner of Administration and the Chancellor of HECC to
approve in writing the undertaking by the Authority of the project, a request for which is
hereby authorized.
The President is authorized to do such other things and to take such other action as he
deems necessary or desirable to carry into effect the matters herein authorized.
The next item on the agenda was the Report of the Committee on Athletics. Trustee Lewenberg
reported that there were no items brought for action. The Committee received annual reports from the
Athletic Departments which contained information about the student athletes and the departments,
including all academic statistics. They also discussed what the most useful format for these reports
should be. Another item discussed at the meeting was the Lowell Arena. Trustee Lewenberg noted that
the Committee requested information that would help them reconcile the various reports to make an
informed evaluation of the financial needs for any arena project and further, the Committee agreed that
the campus should move forward in negotiations with the City on the understanding that no decision
will be made until the Committee is satisfied that the fiduciary interests of the University are fully
protected.
The next item on the agenda was the report of the Executive Committee. The first action item was the
Hospital Management Board Minutes . It was moved, seconded and
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VOTED : To approve the minutes of the June 22, 1994 Hospital Management Board minutes
including Unaudited Financial Statement for June, 1994, and the appointments and
reappointments for May, 1994. (Doc. T94-095)
The next item on the agenda was the A ppointments to the Clinical Management Board. UMASS
Worcester . Chair Taylor noted that at the Special Board Meeting on September 23, 1994 action was taken
on the recommendation of Chancellor Lazare to replace the Hospital Management Board with a Clinical
Management Board to oversee all clinical operations of the Medical Center. This new Board brings a
greater involvement of the University's Board, and George McClelland who has served as the Chair of the
Finance Committee and been instrumental in the restructuring of the Medical Center will be the Chair of
the new Board. Another item was the appointment of Dr. Arthur Russo as Deputy Chancellor for Clinical
Affairs and will be CEO of combined Clinical Operations of the Hospital and Group Practice. These
actions reflect necessary changes to the governance structure and administrative structure as the Medical
Center prepares for the many future changes in the medical field. Chair Taylor also thanked Trustee
Karam for all of the work of the Medical Center Task Force.
Chair Taylor then moved the action item, it was seconded and
VOTED: To appoint the following members to the University of Massachusetts Clinical
Management Board:
Medical Staff Member
Dr. William Lavelle
Community Members
Ms. Barbara Greenberg
Ms. Mary Lee King
Mr. William Kelleher
Trustee Members
Michael T. Foley, M.D.
Robert J. Haynes
Robert S. Karam
Peter K. Lewenberg
Daniel A. Taylor
Ex Officio
Aaron Lazare
Arthur Russo
Joseph Benedict
Michael Hooker (or designate)
(Doc. T94-104)
The next item on the agenda was the Naming of the Library UMASS Amherst . Chair Taylor noted
that Dr. Randolph Bromery, former Chancellor of the Amherst campus, spoke to the Executive
Committee yesterday as Chair of the fundraising committee for the naming of the library for W.E.B.
DuBois and as a strong supporter of the action; Chair Taylor also recognized that Dr. Bromery was in
attendance at the Board meeting.
It was moved, seconded and
VOTED: To name the library on the Amherst campus in honor of W.E.B. DuBois. (Doc. T94-096)
The next item on the agenda was the Report of the External Affairs Committee. Trustee Karam noted
that the Committee will be meeting on October 18 for an in-depth discussion of the strategy for the FY96
State Budget Request Vice President Boyd further stated that on the agenda for the October 18 meeting
will be the University's proposed legislation. Trustee Spence then noted that at the Committee on
Administration and Finance, it was discussed that the A&F and External Affairs Committees need to
work closely together, as they did last year, to effectively manage the budget request.
The next item on the agenda was the report of the Medical Center Task Force and the action item,
University of Massachusetts T eaching Hospital and Marlborough Metrowest Health Systems. Inc.
Trustee Karam noted that the Task Force met on September 23 to discuss negotiations between the
University hospital and other area hospitals. Chancellor Lazare informed the Committee of the
background to the negotiations in the vote, specifically the revenues that are anticipated. Trustee Karam
further noted that the Medical Center Task Force responsibilities will be fully covered by the activities of
those Trustees serving on the Clinical Management Board.
Chair Taylor then recognized the efforts of Trustee Karam and other Board colleagues who worked
extensively on the Medical Center changes, and also thanked Chancellor Lazare and his staff for all of
their work. Chair Taylor also thanked Trustee Bok for his extensive work on the Lowell campus. Both of
these intensive studies have revealed the many resources and great dedication of Trustees and staff alike.
It was moved, seconded and
VOTED; To authorize and approve negotiations regarding the collaborative proposal described in
the letter of intent dated May 31, 1994 between the University of Massachusetts Teaching
Hospital and Marlborough Metrowest Health Systems, Inc. (Doc. T94-103)
The next item on the agenda was the report of the Nominating Committee and the approval of the
Officers and Committee Chairs of the Board of Trustees . Trustee DiCara, reporting for Committee
Chair Haynes, noted that the Committee, having heard suggestions from many Board colleagues, makes
the recommendation that the Committee chairs not be changed at this meeting.
It was moved, seconded and
VOTED; To confirm and approve the Officers and Committee Chairs of the Board set forth in Doc.
T94-100, all to serve until the next annual meeting of the Board.
Chair Taylor then thanked Chancellor Scott for the hospitality shown by the campus over the past
two days. Chair Taylor recognized Gordon Oakes who has asked to not be reappointed to the Board at
the expiration of his term, and thanked him for all of his activities on behalf of the University for the past
10 years. He then stated that the entire Board will continue to depend on Gordon's insight in future
years.
The next item on the agenda was Honorary Degrees. Chair Taylor made the motion to go into
Executive Session. Chair Taylor voted for the motion as did Trustees Andriolo, Bogan, Bok, DiCara,
Finnerty, Flores, Foley, Hoff, Karam, Lewenberg, Oakes, O'Leary, Reed, Spence, Sweeney. The time was
10:15 a.m.
At 10:35 a.m. the Board came out of Executive Session. It was moved, seconded and
VOTED; To award honorary degrees to those individuals agreed upon in Executive Session and to
instruct the Chancellors to proceed with the necessary arrangements.
There being no further business to come before the Board, the meeting was adjourned
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Assistant Vice President for Board Relations
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\
y
I
UNIVERSITY OF MASSACHUSETTS
AMHERST 'BOSTON • DARTMOUTH • LOWELL • WORCESTER
MINUTES OF THE MEETING OF THE
BOARD OF TRUSTEES
Wednesday, December 7, 1994
9:15 a.m.
Faculty Conference Room
University of Massachusetts Medical Center
Worcester, Massachusetts
Trustees and Trustee Staff : Chair Taylor; Trustees Andriolo, Bogan, Flores, Foley, Giblin, Haynes,
Karam, Kraft, Lewenberg, McNeil, Morrissey, Naughton, O'Leary, Poduska, Purdy, Spence, Sweeney;
Vice President/Secretary to the Board Boyd; Ms. Farrell, Assistant Vice President for Board Relations
Trustees Absent : Trustees Bok, Hoff, Lizana, Reed and Robertson
University Administration : President Hooker; Chancellors Scott, Penney, Cressy, Hogan and Lazare;
General Counsel Kirby
Faculty Representatives : Professors May, Knight, Phalen and Dr. Cooke.
Chair Taylor convened the meeting at 9:45 a.m. The first item on the agenda was Consideration of
the Minutes of the previous meeting of the Board. Without discussion, it was moved, seconded and
VOTED : To approve the minutes of the September 23rd and October 5, 1994 meetings of the
Board.
The next item on the agenda was the Chair's Report . Chair Taylor introduced the three new
members of the Board, Trustees Kraft, Giblin and Naughton, and briefly described their extensive
activities. He thanked the new Trustees for committing their time and energy to the University.
The next item on the agenda was the President's Report President Hooker made remarks about the
academic performance of the UM ASS Amherst men's basketball team, saying that he and Chancellor Scott
find that the academic program in place for the athletes is excellent, and they, along with Coach Calipari
will continue to monitor the players' academic performances. He said further that the academic
performance of the players does fluctuate in response to the playing schedule but all of the players for
Coach Calipari have graduated, and that the Athletic Committee will be hearing a report from the
Chancellor on courses in which the students are enrolled.
President Hooker offered remarks on the recently released Report Card, stating his satisfaction with
the project and his expectations for improvements in several of the categories in next year's update. He
went on to say that the evaluation of the Chancellor at UMASS Lowell had been completed, and the
President is satisfied with the process and the directions that the campus plans for the future. The
President then updated the Board on the recent media activities relating to the New England Patriots,
indicating that there have been several areas of discussion, and he will continue to keep the Board
informed.
The Board went on the discuss the issue of academics and athletics. Trustee Lewenberg reported that
his committee had discussed this extensively and that the Trustees through that committee have a strong,
ongoing commitment to athletics and they will continue to support the department's efforts to ensure
academic success.
Chair Taylor then introduced the Consent Agenda . It was moved, seconded and
VOTED : To approve the following votes listed as items #1-8 on the Board Consent Agenda:
1. To accept the Teaching Hospital Trust Fund, FY94 Audited Financial Statements. (Doc. T94-
105)
2. To accept the Group Practice Plan, FY94 Audited Financial Statements. (Doc. T94-106)
3. To accept the Self-Insurance Trust, FY94 Audited Financial Statements. (Doc. T94-
107)
4. To accept the State Single Audit Follow-Up, UMASS Dartmouth, UMASS Lowell.
(Doc. T94-109)
5. To concur with the recommendation of the University Senior Director for Auditing to
select the firm of Coopers & Lybrand to perform the University A-133 Audit for
FY1994. (Doc. T94-083)
And further,
To approve the method of charging the costs to the campuses for said audit.
6. To approve the University Auditor's Plan for Fiscal Years 1995, 1996 and 1997. (Doc.
T94-082)
7. To approve the "Principles of Affiliation" between the University of Massachusetts
Teaching Hospital and Marlborough-Metrowest Health Systems, Inc., attached
hereto and identified as Attachment A, and to authorize the President to delegate to
the Chancellor, who may delegate further to the Deputy Chancellor for Clinical
Affairs to take any and all actions he may determine to be advisable or necessary to
effectuate the transaction including but not limited to execution of the Definitive
Agreement(s) on behalf of the University. (Doc. T94-103, Attachment A)
8. To establish a committee consisting of George McClelland, Robert Karam and
Stephen Lenhardt to review proposals from companies able to provide management
consultant services with respect to health care cost reduction at the Medical Center
and notwithstanding any contrary provision of Doc. T92-031, Appendix D, to
authorize the Chancellor of the Worcester campus in consultation with said
committee to select a consultant and to execute an agreement for services on behalf of
the University the with selected consultant.
The next item on the agenda was the report of the Committee on Academic and Student Affairs.
Trustee McNeil introduced the first item for action, M.S. and Ph.D. in Organismic and Evolutionary
Biology (Stage II), UMASS Amherst . Trustee McNeil called on Chancellor Scott who provided a brief
overview of the program, noting that there are no new costs involved.
It was moved, seconded and
VOTED : To approve the Stage II proposal for a M.S. and Ph.D. in Organismic and Evolutionary
Biology academic degree program at UMASS Amherst as contained in Doc. T93-068,
Addendum 1.
>
>
The next item on the agenda was Appointment with Tenure, UMASS Worcester . Chancellor Lazare
indicated that the campus is honored to have such an exceptional candidate.
It was moved, seconded and
VOTED : To concur with the President in the appointment of Edward Bresnick as Vice Chancellor
for Research, with tenure in the Department of Pharmacology at UMASS Worcester.
(DOC.T94-111)
The next item on the agenda was Awards of Tenure. UMASS Amherst. UMASS Lowell . It was
moved, seconded and
VOTED : To concur with the President in the award of tenure to the following individuals in the
following Departments:
Amherst
Martin Weinberg—Physics and Astronomy
Lowell
William Mass—Policy and Planning
(Doc. T94-112)
The next item on the agenda was the Designation of Gilbert L. Woodside Professor of Biology ,
UMASS Amherst . Trustee McNeil encouraged the Board to review the information on this candidate,
pointing out his service to the institution.
It was moved, seconded and
VOTED : To designate Dr. Christopher Woodcock as the Gilbert L. Woodside Professor of Biology
as contained in Doc. T94-115.
The next item on the agenda was the Engineering Task Force . Trustee McNeil reminded the Board
of the previous action taken by the Board and that this vote is a follow-up to that action. President
Hooker indicated that the Board will have a full report from the Task Force, most likely at the June
meeting.
It was moved, seconded and
VOTED : There will be no net new state-funded faculty positions in engineering within the
University. An exception may occur where the addition of such a position is clearly
intended to increase faculty diversity and such position is approved by the Board. The
foregoing shall remain in effect as an interim measure until the Board takes superseding
action in light of recommendations by the Task Force. (Doc. T94-074, Addendum 1)
Chair Taylor then turned to Trustee Spence for the report of the Committee on Administration and
Finance. Trustee Spence informed the Board that a great deal of discussion had been held at the meeting
on the first item for action, the FY1994 Financial Report . Trustee Spence congratulated the campus staff
members for the timely submission of their reports.
It was moved, seconded and
VOTED : To accept the University of Massachusetts FY1994 Financial Report. (Doc. T94-113)
The next item on the agenda was the vote on Financial Integrity . Trustee Spence noted that Trustee
Haynes and the Audit Committee recommended this vote to the Committee on Administration and
Finance in an effort to provide the President and Trustees critical information on the financial condition of
the campuses. Trustee Haynes spoke to the issue of financial integrity and the importance of the fiscal
responsibility held by the Trustees, emphasizing that the resolution is not meant as an onerous measure,
but insurance against financial problems.
It was moved, seconded and
VOTED : To approve the following resolution:
WHEREAS, it is the responsibility of the Trustees and President of the University to
assure the financial integrity of the University; and
WHEREAS, it is the responsibility of the Chancellor of each campus with delegation
from the President to insure the fiscal integrity of the campus; and
WHEREAS, the University must have fiscal boundaries that include a positive ratio of
current assets to current liabilities, positive expendable fund balances, and operating
surpluses; and
WHEREAS, the University needs continuing working capital surpluses to support new
program development and increased grant and contract activity, and to plan for fiscal
emergencies:
NOW THEREFORE, BE IT RESOLVED THAT:
The Board of Trustees hereby requests the President to establish and monitor financial
standards and parameters for ensuring the fiscal integrity of the campuses, and further to
set requirements for action when any campus or University operation does not meet said
financial standards, including but not limited to detailed spending plans, monthly
expenditure and revenue reports, and long-term action plans for reaching financial
integrity, provided that the President shall provide a copy of the financial standards and
parameters to the Committee on Administration and Finance and the Audit Committee.
The next item on the agenda was the Massachusetts Prepaid Tuition Program . Vice President
Lenhardt provided a brief overview of the program.
It was moved, seconded and
VOTED : To approve participation by the University in the Massachusetts Prepaid Tuition
Program established by the Massachusetts Educational Financing Authority under the
provisions of Massachusetts General Laws, chapter 15C, §5(fl/2), as described in Doc.
T94-116; and further, to authorize the President to enter into any agreements necessary to
effectuate the University's participation in the Program, including but not limited to
agreements to waive, if necessary, increases in mandatory fees which may exceed the
payments received by the University from the Massachusetts Educational Financing
Authority under the Program.
The next item on the agenda was Capital Financing: Hadley Farm . Trustee Spence reminded the
Board of the previous actions taken in regard to the Farm, and that this vote returns the reserves initially
borrowed for the Farm to the Foundation. Some discussion regarding procedures for fundraising for
capital dollars before borrowing was held, and it was also pointed out that the Farm has been a good
acquisition for the University.
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V
>
It was moved, seconded and
VOTED : To authorize the University Treasurer to loan to the University of Massachusetts
Foundation the sum of $2.9 million at an agreed upon interest rate for a period of ten
years, for the purchase, repair and maintenance of the Hadley Farm, with principal and
interest to be repayable based on an amortization schedule approved by the Treasurer, as
set forth in Doc. T90-073, Addendum 1;
and further,
to authorize the Chancellor of the Amherst campus, subject to approval of the General
Counsel, to assent on behalf of the University to a lease agreement between the Division
of Capital Planning and Operation and the Foundation for use of the premises by the
campus; such lease to include a provision for the Amherst campus to pay on a monthly
basis the costs of servicing the $2.9 million loan made by the Treasurer to the UMASS
Foundation.
The next item on the agenda was the Capital Financing: SMU Building Authority . Vice President
Lenhardt informed the Board that this vote will offer significant savings to the campus in the area of
student fees, and will be a part of Chancellor Cressy's student fee budget presentation in the spring, 1995.
It was moved, seconded and
VOTED : To approve the SMU Building Authority refunding of its 1986 Series A Bonds as listed in
Doc. T94-118. Further, to direct the Dartmouth campus to develop a final plan for the use
of the refund savings as part of its FY1996 Student Fee Budget process in the Spring,
1995.
The last item for action on Administration and Finance was the Transfer of Capital Asset Reserve
Funds to Quasi-Endowment, UMASS Worcester . Vice President Lenhardt informed the Board that this
is in keeping with the Quasi-Endowment policy approved by the Board in June.
It was moved, seconded and
VOTED : To approve a transfer of $12,800,000 from the Worcester campus Capital Asset Reserve to
the Quasi-Endowment; said funds will be restricted for capital purposes. (Doc. T94-122)
The next item on the agenda was the report of the Committee on Athletics. Trustee Lewenberg
reported on the many items that the Committee had discussed, most importantly the issue of academic
success for student athletes. He further pointed out the successes of several of the campus' athletic teams.
The next item on the agenda was the report of the Audit Committee. Trustee Haynes indicated that
many of the action items have been already taken, and referred the Board to the Ernst and Young report
that provides detailed information on the finances of the Medical Center. Trustee Haynes noted his
concern for the staffing and resources devoted to the Audit staff at the University, to ensure action on
priority issues.
Chair Taylor then provided a brief overview of the Joint External Affairs and Executive Committee
meeting. He pointed out the report given by Chancellor Hogan as an excellent response to the Bok Study.
Those committees also discussed legislation and fundraising.
Chair Taylor then introduced the first item for action, approval of the Clinical Management Board
Members . It was moved, seconded and
VOTED: To appoint the following members to the University of Massachusetts Clinical
Management Board:
Community Members
Cornelius Ferris
Physicians
Arthur Pappas, M.D.
Neil Blacklow, M.D.
The next item for action was Amendments to the By-Laws of the Clinical Operations, UMASS
Worcester . It was moved, seconded and
VOTED : To approve the amendments to the By-Laws of the Clinical Operations of the University
of Massachusetts Medical Center as listed in Doc. T94-099.
The next item on the agenda was the Hospital Management Board Minutes . Chair Taylor noted that
the minutes from the Clinical Management Board will be approved on the Consent Agenda. It was
moved, seconded and
VOTED : To approve the minutes of the September 28, 1994 Hospital Management Board including
the Unaudited Financial Statements for June, July and August, 1994, and the
appointments and reappointments for June, 1994. (Doc. T94-121)
The next item on the agenda was the Department of Defense Exclusion List . It was moved,
seconded and
VOTED : To approve the following resolution:
WHEREAS, current Department of Defense Regulations contain a provision
making it mandatory that the Chairman of the Board, the President, the Secretary
and the designated Facility Security Officer meet the personnel clearance
requirement established for a contractor's facility clearance; and
WHEREAS, said Department of Defense Regulations permit the exclusion from
the personnel clearance requirements of certain members of the Board of
Trustees and other officers, provided that this action is recorded in the minutes.
NOW THEREFORE, BE IT DECLARED that the Chairman of the Board, the
President, the Secretary and the designated Facility Security Officer at the present
time do possess or will be processed for the required security clearance; and
BE IT RESOLVED that in the future, when any individual enters upon any
duties as Chairman of the Board, the President, Secretary or other person
designated as Facility Security Officer, such individual shall immediately make
application for the required security clearance; and
BE IT RESOLVED FURTHER that the following members of the Board of
Trustees and other officers shall not have, and can be effectively excluded from
access to all classified information in the possession of the corporation and do not
occupy positions that would enable them to affect adversely policies or practices
in the performance of classified contracts for the Department of Defense or the
User Agencies of its Industrial Security Program:
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NAME TITLE
Brian Andriolo Trustee
Daniel E. Bogan Trustee
Derek Bok Trustee
Heriberto Flores Trustee
Michael T. Foley, M.D. Trustee
William Giblin Trustee
Robert J. Haynes Trustee
Charles Hoff Trustee
Robert S. Karam Trustee
Myra Kraft Trustee
Peter K. Lewenberg Trustee
Arnold Lizana Trustee
Ogretta McNeil Trustee
Matthew Morrissey Trustee
John Naughton Trustee
James F. O'Leary Trustee
John William Poduska, Sr. Trustee
Timothy Purdy Trustee
Mary L. Reed Trustee
Pied ad F. Robertson Trustee
Rina K. Spence Trustee
Timothy Sweeney Trustee
Chair Taylor then informed the Board that the next two items on the agenda were appropriate for
discussion in Executive Session. He then asked for a motion to go into Executive Session for the purposes
of discussing Honorary Degrees and to discuss the Report of the Evaluation Committee—Annual
Review which is part of the President's personnel file and not subject to public disclosure.
It was moved, seconded and
VOTED : To enter Executive Session.
Chair Taylor voted for the motion as did Trustees Andriolo, Bogan, Flores, Foley, Giblin, Haynes,
Kraft, Lewenberg, McNeil, Naughton, O'Leary, Poduska, Spence, and Sweeney. Chair Taylor indicated
that the Board would reconvene in open session. He further indicated that following the discussion on
Honorary Degrees, all staff members excepting the President would be asked to leave.
The time was 11:10 a.m. The Board reconvened in open session at 12:05 p.m.
It was moved, seconded and
VOTED : To award honorary degrees to those individuals agreed upon in Executive Session and to
instruct the Chancellor to proceed with the necessary arrangements.
Chair Taylor then spoke to the Annual Review of President Hooker, stating that upon the
appointment of the President, the Board agreed to evaluate his performance and review his salary
annually. He noted that though a review was conducted last year, the President's salary was not
changed. Chair Taylor reported that the Trustees are pleased with the work that President Hooker has
done and in particular, pleased with his leadership in beginning the many changes that the University
needs to make to become an excellent five campus institution. Chair Taylor then asked for a motion to
approve an 8% increase in President Hooker's salary, equivalent to 4% per year. Chair Taylor referred to
the letter from Academic Search Consultant Service (ASCS) indicating the level of comparative salaries
for system CEO's noting that President Hooker is in the area of the median salary. The Trustees held
some discussion regarding the importance of ensuring an increase for other University employees.
It was moved, seconded and
VOTED : To concur in the Chair's recommendation that the President's annual salary be $189,000
as of September 1, 1994.
The next item on the agenda was a discussion of the Committee Meeting Structure . The Board was
in agreement on the point that the major committee meetings be held on the Tuesday before the regular
Wednesday Board meetings. The Trustees' Office will make arrangements for the change in meeting
schedule.
Trustee Foley requested that at the next meeting of the Board he be allowed time to report on the
meeting of the Trustees of the Five Colleges, Inc.
There being no further business to come before the Board, the meeting was adjourned.
i P
Elizabeth H. Tuthill Farrell
Assistant Vice President for Board Relations
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UNIVERSITY OF MASSACHUSETTS
AMHERST 'BOSTON • DARTMOUTH • LOWELL • WORCESTER
MINUTES OF THE MEETING OF THE
PERSONNEL AND DIVERSITY SUBCOMMITTEE
Wednesday, May 4, 1994; 8:00 a.m.
18 Tremont Street - Suite 800
Board Room
Boston, Massachusetts
Committee and Committee Staff : Chair Reed, Trustee Hoff; Vice President and Secretary of the
Board Boyd and Assistant Vice President Tuthill
Committee Members Absent : Trustee Haynes
Medical Center Task Force : Trustees Karam and Foley
University Administration : Chancellor Hogan; Vice President Lenhardt; General Counsel
Kirby; Mr. Milbury, Director of Labor Relations; Deputy Chancellor Stanton
Campus Affirmative Action Representatives : UMASS Amherst: Mr. Tillis, Mr. Leheny, Ms.
Carr; UMASS Boston: Mr. Babcock; Ms. Blair; UMASS Dartmouth: Ms. Carey; UMASS Lowell:
Ms. Lyman; UMASS Worcester: Mr. Wells
Chair Reed convened the meeting at 8:00 a.m. and introduced the first item, Affirmative
Action Plans . Trustee Reed identified the Committee's interest in seeing that the plans receive
due focus and attention and noted that the Committee intends to look at each campus's plan as an
individual agenda item at upcoming meetings. Representatives from each campus then spoke to
their proposed plans for reporting affirmative action issues to the Board through this Committee.
Some of their concerns were that there are differences among the campuses, but each campus also
agreed to a common format for annual reporting that will be useful for all.
The Committee expressed concern for the attention and priority that is given to affirmative
action, noting that the system-wide performance is very unequal and that there has not been a
thorough review by the Trustees in a few years. All members of the Committee and staff agreed
on the importance of Affirmative Action principles when conducting searches and in any
personnel recruitment. Chair Reed then requested the Chancellors attendance at future
Committee meetings.
A draft of guidelines and components that would make up the annual report to the
Committee was distributed and it was agreed that these guidelines would foster unanimity in
reporting and allow for easier access to common information by the Trustees.
A question regarding the availability of state or federal money to support affirmative action
goals and diversity on the campuses was brought up and discussed. Outside of federal minority
scholarship funds and a state fund (McNair) there are no specific funds. Each campus was then
asked to prepare an inventory of incentive funds to achieve affirmative action and diversity goals
and report back to this committee.
It was also noted that the language in the reporting format (Doc. T94-054) should be amended
so as to clarify that this reporting format pertains only to the Trustees and will not interfere with
or change reports to federal or state agencies.
It was moved, seconded and
VOTED : To recommend that the Executive Committee accept the Affirmative Action Plans
for UMASS Amherst, Boston, Dartmouth, Lowell and Worcester as contained in
Doc. T94-026. Further, to approve the reporting format for submission of
Affirmative Action Plans to the Board of Trustees as contained in Doc. T94-054,
as amended.
The next item on the agenda was Workforce Redesign Policy, UMASS Worcester. Deputy
Chancellor Stanton reminded the Committee that this policy had been brought before the
Executive Committee of the Board in April as a response to pressing budgetary issues that the
Medical Center is facing which may necessitate significant cuts in personnel. It was determined
after further study that the immediate personnel changes could be made under the University's
existing policies or contracts. The request for action on this policy has been tabled, but Mr.
Stanton asserted that they may need the policy for long-term changes that are anticipated,
particularly in the next three years, and may come back to the Board in August.
The Committee expressed concern regarding the extent and need for personnel policies at the
various campuses, but was assured that the situation and uniqueness of the Medical Center
campus needs a separate policy.
Chair Reed requested that any further discussion should come to this Committee in adequate
time to be acted on by the Committee on Administration and Finance for the August Board
meeting.
The next item on the agenda was a discussion of Diversity Issues at the University. Chair
Reed noted that the System Task Force Report on Diversity she had received from Chancellor
Hogan had a great deal of information about extensive activities across the system. Chancellor
Hogan identified four major parts of the report and noted that the final report will be ready in
June. The recommendations will be then be considered in the strategic planning report currently
in process which is expected to come to the Board in October.
Chair Reed then stressed that the goals of this Committee include reviewing each campus
Affirmative Action plan.
There being no further business to come before the Committee, the meeting was adjourned at
9:05 a.m.
Elizabeth H. Tuthill
Assistant Vice President, Board Relations
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UNIVERSITY OF MASSACHUSETTS
AMHERST • BOSTON • DARTMOUTH • LOWELL • WORCESTER
MINUTES OF THE MEETING OF THE
PERSONNEL AND DIVERSITY SUBCOMMITTEE
Tuesday, June 7, 1994; 12:00 noon
18 Tremont Street - Suite 800
Board Room
Boston, Massachusetts
Committee and Committee Staff; Chair Reed, Trustees Haynes and Hoff; Vice President and
Secretary of the Board Boyd and Assistant Vice President Tu thill
University Administration: Chancellors Cressy, Hogan, Lazare, Penney and Scott; Vice
President Sessoms; General Counsel Kirby
Chair Reed convened the meeting at 12:05 p.m. and introduced the discussion topic, External
Funding for Diversity Initiatives and the need to formalize diversity initiatives across the
campuses to better understand the funding that the system as a whole is working with. Trustee
Reed asked each campus to address a three part question: what programs are in place on the
campus, how are they being funded, and how can these programs be shared in the system.
Chancellor Hogan then reported on the Lowell campus's plans in relation to the strategic
goals, particularly to diversity and pluralism. There is a Diversity and Pluralism Council which
currently has campus funds set aside for new initiatives, awarded on a competitive basis. The
Chancellor also described some of the campus's programs in this area and the faculty who are
particularly instrumental in making the programs work.
The next campus to report was UMASS Boston. Chancellor Penney gave information on the
Planning Council at her campus which has done extensive work in the area of diversity,
including the very successful Urban Scholars Program. They have incorporated a diversity
requirement into the curriculum, and have had a Ford Foundation Grant ($180,000) which is for
faculty initiatives and there have been discussions with Vice President Sessoms about expanding
this program to the five campuses.
Chair Reed then requested that each campus provide a list of those programs for which
funding has run out, those which are currently operating from external funds, and the level of
funding in total.
Chancellor Penney further noted that the Boston campus has approximately $2-3 million
from federal, state and private funding for all of the programs in total and identified the greatest
funding problem area as being financial aid for low-income students.
The discussion turned to the aspect of moral, ethical and economic incentives that are there
for universities to provide support to minority populations, and the need to better educate people
about financial aid opportunities. In addition to federal and state funding, there are other
institutions (banks, for instance) that see the incentive in investing in the education of the future
workforce.
Chancellor Cressy then reported on the Dartmouth campus which has a highly diverse
student population from Fall River and New Bedford. The campus has focused on five areas
which, for students, include: outreach, retention and support systems. The campus has provided
funding for several programs which have been very successful, with modest outside funding.
The campus also had a Day of Diversity as follow-up to the all-university conference which was
very well attended and received. The Chancellor spoke about his focus on diversity initiatives, in
particular, hiring senior level administrators. The other major area he is focused on is Title IX to
increase opportunities for women in athletics.
Chancellor Lazare spoke next regarding diversity initiatives at UMASS Worcester. There are
efforts that address the needs and concerns of the various campus groups and nearly all of the
funding is external. They have turned their efforts to junior and high school students in order to
increase the number of minority students who apply to medical school which, at this time, is very
small. They have also put in place an incentive program for hiring minority faculty.
Chancellor Scott then informed the Committee of the progress the Amherst campus has made
in the area of diversity and pluralism. They have set a goal for the recruitment of
undergraduates, that the entering freshman class would reflect the diversity of the high school
graduating seniors in Massachusetts. The Chancellor further reported on other goals that reflect
the plan that was put in place in the fall of 1992. The campus has numerous programs which
address access, outreach, and retention, for undergraduate and graduate students as well as
faculty.
There was further discussion about the Massachusetts companies which have a vested
interest in both the education of the population and the community support and could provide
funding to the UMASS system. It will be important to approach these companies as a system to
seek support not as five separate entities. The campuses have some very successful and effective
programs that can be shared among the system and these should be identified. Further, the
problem of high tuition-high financial aid is still a barrier for many low income students and their
families.
Chair Reed reiterated the importance of better educating students and their families on
financial aid. She further requested that the campuses forward information to Vice President
Sessoms on their programs and funding.
The meeting adjourned at 1:05 p.m.
Elizabeth H. Tuthill
Assistant Vice President, Board Relations
)
i
UNIVERSITY OF MASSACHUSETTS
AMHERST • B OSTON • DARTMOUTH • LOWELL • WORCESTER
MINUTES OF THE MEETING OF THE
PERSONNEL AND DIVERSITY SUBCOMMITTEE
Tuesday, July 26, 1994; 1:45 p jn.
18 Tremont Street - Suite 800
Board Room
Boston, Massachusetts
Committee and Committee Staff : Chair Reed, Trustee Hoff; Vice President and Secretary of the
Board Boyd and Assistant Vice President Tuthill
University Administration : Chancellors Cressy, Hogan, and Lazare; Vice President Sessoms;
General Counsel Kirby; Vice President Lenhardt; Deputy Chancellors Stanton and Williams;
Associate Chancellors Babcock, Tillis and Vanin.
Chair Reed convened the meeting at 1:50 p.m. and welcomed the new interim Affirmative
Action Officer from the UMASS Boston campus. Mr. Babcock introduced Charles Diggs who has
been at UMASS Boston for 10 years and said that here will be a search for the permanent AAO
this year which will be chaired by Hubie Jones.
Chair Reed then requested that the action item first on the agenda be delayed in the event
that Trustee Haynes would attend the meeting later. The first item for discussion was
Affirmative Action Plans: Focus on UMASS Amherst . Chair Reed reiterated the Committee's
interest in reviewing the Affirmative Action Plans for each campus individually to hear about
updates on the plans, or any issues in the pipeline that should be addressed.
Associate Chancellor Tillis then presented information on the Affirmative Action plan for
1993-94, the report required by the federal government. Mr. Tillis explained that narrative
reports and specific numbers are provided by each budgetary unit. He reported that the campus
had increased the numbers of targeted persons in the workforce on the campus, but that efforts
should continued, particularly in the senior administrative levels. Mr. Tillis further identified
programs that the campus supports for black and other minority students, as well as the increase
in admissions of underrepresented groups and focus on retention that the campus is committed
to.
Associate Vice Chancellor Vanin further commented that the campus has dedicated money
and staff to programs for outreach and retention which will make a great difference in
overcoming the campus' negative. The programs that were identified in the materials are
crosscutting across the departments and the campus to fully support and educate all of the
students at the University.
Chancellor Cressy raised the issue of the four undergraduate campuses competing with each
other for minority students, and whether there should be a policy which clearly defines each
campus's goals. The representative balance for each campus would need to be different and may
also define geographical areas for recruiting. Vice President Boyd reminded the Committee that
the campuses are currently working on the measurable goals and indicators which should help to
clarify these issues. Chair Reed noted that this is a very important subject and should be brought
up again at a future meeting.
The next item discussion item was the External Funding for Diversity Initiatives . Chair
Reed asked Deputy Chancellor Williams to present the information that was sent regarding
programs at UMASS Amherst. Deputy Chancellor Williams reiterated the importance of
increasing the targeted areas of the workforce, as well as recruitment and retention programs for
students. The document reflects extensive monetary support, particularly for recruitment, and
the Deputy Chancellor further noted the external funding sources which they track for ongoing
funding each year. Linda Marchesani, who manages the Office of Staff Development and
Training then distributed information on staff training, for which there is external funding, and
some effective programs, some of which were funded through the Strategic Initiatives Fund.
Deputy Chancellor Williams stressed the importance of staff development in the effort to recruit
and to retain all students. These programs also represent the type of programs that could be
shared across the system.
Chair Reed commented that the format used by the Amherst campus was very effective and
asked that all of the campuses consider using this type of format for this information.
The next item on the agenda, for action, was the Workforce Redesign Policy, UMASS
Worcester . Chair Reed reminded the Committee that this policy had come to the Committee
previously and that there was a need, in light of the ongoing changes in the Hospital structure, to
bring the policy back for recommendation to the Committee on Administration and Finance.
Chair Reed then asked Deputy Chancellor Stanton to present information on the policy. Mr.
Stanton noted that the policy brought today is the same policy that the Board approved for all of
the campuses last August, with substantive changes being the circumstances under which the
institution may reduce the workforce, based on the very competitive financial situation the
hospital is now facing, and the length of notice time and severance as based on vacation and
years of service. Mr. Stanton also said that the policy would probably be operational sometime
this fall.
It was moved, seconded and
VOTED : To recommend that the Committee on Administration and Finance approve the
Workforce Redesign Policy at UMASS Worcester as contained in Doc. T94-023,
Appendix 1, as amended.
Chair Reed then asked Chancellor Hogan to update the committee on the Task Force on
Diversity and Pluralism . Chancellor Hogan said that the focus on the balance of numbers of
minorities is a complicated one and that the Task Force is still working on that part of the report.
He said further that the report should be completed by September.
There being no further business to come before the committee, Chair Reed adjourned the
meeting at 2:45 p.m.
Elizabeth H. Tuthill
Assistant Vice President, Board Relations
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UNIVERSITY OF MASSACHUSETTS
* AMHERST -BOSTON • DARTMOUTH • LOWELL • WORCESTER
MINUTES OF THE MEETING OF THE
AD HOC COMMITTEE ON PERSONNEL
Tuesday, March 1, 1994; 7:45 a.m.
18 Tremont Street - Suite 800
Knapp Room
Boston, Massachusetts
Committee and Committee Staff : Chair Reed; Trustees Haynes and Hoff (via Conference Call); Mrs.
Fontaine, Secretary to the Board
University Administration : President Hooker (via Conference Call); Vice President Lenhardt; Mr.
Milbury, Director of Labor Relations
Chair Reed convened the meeting at 7:45 a.m. The purpose of this meeting was to consider the
revised draft of the Personnel Policy for Non-Unit Professional Staff . Vice President Lenhardt reviewed
with the Ad Hoc Committee the changes that had been suggested by the Chancellors and incorporated
into the document.
The Sub-Committee discussed and approved the following additional changes in the policy:
• Delete the provision allowing for delegation of salary authority to Vice Chancellors;
. • Require approval by the President of any new or changed salary above $100,000;
• Add language indicating that the President shall report annually to the Board of Trustees on the
Annual Merit Salary Program.
With these changes, the Sub-Committee approved the Personnel Policy for Non-Unit Professional
Staff and recommended its adoption by the Committee on Administration and Finance.
The Ad Hoc Committee will reconvene in approximately six months to review the implementation of
the non-unit personnel policy.
The meeting adjourned at
Cynthia A. Fontaine
Secretary to the Board of Trustees
)
/
UNIVERSITY OF MASSACHUSETTS
AMHERST 'BOSTON • DARTMOUTH • LOWELL • WORCESTER
MINUTES OF THE MEETING OF THE
AD HOC COMMITTEE ON PERSONNEL AND DIVERSITY
Tuesday, December 20, 1994; 8:00 a.m.
Board Room
University of Massachusetts President's Office
Boston, Massachusetts
Committee and Committee Staff : Chair Reed; Ms. Farrell, Assistant Vice President for Board Relations
Committee Members Absent : Trustees Haynes and Hoff
University Administration : President Hooker; Chancellor Hogan; Vice President Sessoms; Provost
Tripathy; Dean Pierson, School of Education; Ms. Lyman, Special Assistant to the Chancellor for
Affirmative Action; Mr. Giarusso, Director of Personnel, UMASS Lowell; Ms. Lan Pho, Director, Minority
Student Affairs
Chair Reed convened the meeting at 8:20 a.m. The first item for discussion was the Update on
Diversity Initiatives, UMASS Lowell . Chair Reed asked Lan Pho to provide an update on her area of
responsibility, the Council on Diversity and Pluralism at the Lowell campus.
Ms. Pho then gave an overview of the Council, general responsibilities, future plans and organization.
She responded to questions regarding funding for the Council's activities, most of which is internal.
Chair Reed noted the importance of identifying the most effective programs, given the uncertainty of
funds and the need to ensure that the best programs are continued. Ms. Pho reported on a study survey
and noted that they plan to update this survey and report back to this Committee.
Ms. Lyman then provided an update on the campus' Affirmative Action Plan. She indicated that
there is no major change in the numbers from the June 1994 report, but the campus is making changes
under the new Provost, Sukant Tripathy, to be more aggressive in recruitment efforts. Also, the campus
is not currently doing any extensive hiring. Chair Reed asked that this Committee receive an update on
the numbers in December, 1995.
Mr. Giarusso then reported, from the Personnel Office, the activities for improving recruitment and
the importance of the impact that internal hiring practices have on the affirmative action numbers. He
spoke to this issue of quality programming on the campus, fair treatment and training programs that help
all employees excel.
Dean Pierson then updated the Committee on the dropout prevention programs that the campus is
currently responsible for in the Lowell /Lawrence school districts, which has achieved great success.
They hope to recruit more of these students to UMASS Lowell each year. He further updated the
Committee on the Demonstration school that is run in Lowell which has also been successful. The School
of Education is also involved in curriculum changes in the Lowell public schools, as well as teacher
training for ESL. Ms. Lyman also pointed out the great achievement of the National Youth Sports
Program (NYSP) for area at-risk high school youth. Chair Reed asked that all of the programs mentioned
at this meeting be included in the overview of campus programs.
)
The meeting was adjourned at 9:15 a.m.
Elizabeth H. Tuthill Farrell
Assistant Vice President for Board Relations
-2-
UNIVERSITY OF MASSACHUSETTS
AMHERST 'BOSTON • DARTMOUTH • LOWELL • WORCESTER
MINUTES OF THE MEETING OF THE
INVESTMENT COMMITTEE
Tuesday, February 1, 1994
Quinn Administration Building, Room 311
University of Massachusetts
Boston, Massachusetts
Trustee and Trustee Staff: Chair Haynes, Trustees Karam, Poduska and Oakes; Mrs. Fontaine, Secretary
to the Board
Other Trustees: Trustees Lizana and Lewenberg
University Administration : President Hooker, Vice President Lenhardt, Vice Chancellors Dars, Goodwin
and Page; Deputy Chancellor Stanton
Trustee Haynes convened the meeting at 2:50 p.m. The first item on the agenda was the Quasi
Endowment Fund Policy. Vice President Lenhardt presented the draft policy in response to the interest
expressed at the last meeting to develop a long term investment and development strategy. The draft
policy would allocate funds to the quasi-endowment accounts from each of the campus units of the
system and would be held by the University of Massachusetts Foundation. The funds would be invested
under the same guidelines as the endowment funds.
Another alternative suggested was similar to the mission enhancement fund approach the University
undertook this year. There was a less than optimistic view of this approach given the current budget
situation.
Vice Chancellors Page and Goodwin then spoke about potential concerns from the campus
perspective.
The Committee suggested that Vice President Lenhardt have prepared for the next meeting, data
relating to last year's balance sheet and what the impact would be if the University moved ahead with
this concept.
The meeting adjourned at 3:30 p.m.
Cynthia A. Fontaine
Secretary to the Board of Trustees
UNIVERSITY OF MASSACHUSETTS
AMHERST • B OSTON • DARTMOUTH • LOWELL • WORCESTER
MINUTES OF THE MEETING OF THE
INVESTMENT SUBCOMMITTEE
Wednesday, May 4, 1994; 10:00 a.m.
18 Tremont Street - Suite 800
Board Room
Boston, Massachusetts
Committee and Committee Staff : Chair Haynes, Trustee Oakes (via telephone), Vice President
and Secretary of the Board Boyd and Assistant Vice President Tuthill
Committee Members Absent : Trustees Karam and Poduska
University Administration : Vice President Lenhardt; General Counsel Kirby; Vice Chancellor
Goodwin; Associate Chancellor Leheny; Associate Treasurer Marquis; University Comptroller
Wanczyk
Chair Haynes convened the meeting at 10:00 a.m. and asked Vice President Lenhardt to
introduce the first item, the Ouasi-Endowment Policy. Mr. Lenhardt reminded members that
this policy had previously come before the Committee and that it is an amendment to the current
Cash Management Policy of the University. The Comptroller, Ms. Wanczyk, then distributed
information regarding Balance Sheet and accounting implications that this policy would have.
Also available as a separate item was a portrayal of the Foundation's investment strategy,
including the asset mix.
Vice President Lenhardt then described the proposed policy and identified the basic policy
question as the Trustees' authorization of the quasi-endowment. The ensuing discussion focused
on creating a quasi-endowment from operations up to an amount equal to 25% of the book value
of the University's operating cash portfolio as of June 30. In discussion it was made clear that a
campus must have a positive current fund unrestricted fund balance in order to be considered
under the policy. It was agreed to recommend a quasi-endowment strategy as a positive effort to
improve the University's Balance Sheet.
Discussion then turned to the issue of amending the Cash Management Policy to allow equity
participation of up to 25% of the total cash balance of the University. Many issues were discussed
such as the volatility of the equity market, enhanced return, and so on. The risk being taken is
that in three of four years, the quasi-endowment return will exceed the fixed income return, but
in those years as well, negative returns are also possible. The Treasurer's Office will be
responsible for the program, as well as the hiring of external mangers to invest the equity
component.
Lengthy discussion regarding the investment return led to putting forth a few options for
capping that return, so as to keep from allocating earnings to any excessive levels. It was
determined that capping the return would safeguard the assets against down years and also keep
any campus from excessive dependence on the return. The cap could be established annually
based on expectations or on an average over the last five years. It was understood that the
Treasurer's Office would propose language in the vote to accomplish this objective.
Concerns regarding the one percent distribution to the President for development purposes
were then discussed. President Hooker assured the Committee that the Chancellors had all
discussed this policy and agreed on the need to devote money to development. The Committee
reiterated their support for the need to establish funds for use in development and see the quasi-
endowment as a good starting point for bolstering the total endowment.
The Committee then discussed information in the materials that identify the impact of
establishing a quasi-endowment fund. Ms. Wanczyk reported that comparative indices from
Standard & Poors show that our peer public institutions do have endowments of approximately
$68 million in total, of which 74% is quasi-endowment, and that if we utilized the 25% allocation
for FY94, the University would be at $64 million in total endowment with 77% of that being
quasi-endowment. The level of 25% allocation was then discussed and Committee members
were reminded that the policy allows for up to 25% and is limited by the individual campus's
balance sheets which is a second safeguard; this is a conservative allocation measure.
The major risk in establishing this policy hinges on whether or not the University proceeds
with the bond program and, if there is no bond program authorized, the money in the quasi-
endowment fund might need to be used for capital repairs and maintenance. Another external
risk would be any changes in the State's accounting requirements that threaten the University's
fiscal autonomy and forces the University to account for its funds in a different manner.
The Committee asserted that they support the policy and will bring it to the Committee on
Administration and Finance for action.
There being no further business to come before the Committee, the meeting was adjourned at
10:55 am.
Elizabeth H. Tuthill
Assistant Vice President, Board Relations
-2-
i
UNIVERSITY OF MASSACHUSETTS
AMHERST -BOSTON • DARTMOUTH • LOWELL • WORCESTER
MINUTES OF THE MEETING OF THE
LOWELL STUDY GROUP
Friday, May 27, 1994; 8:30 a.m.
18 Tremont Street - Suite 800
Wood Room
Boston, Massachusetts
Committee and Committee Staff : Chair Bok, Trustees Cunningham, Hoff, Karam, Poduska, and
Taylor; Assistant Vice President Tuthill
Committee Members Absent : Trustee Haynes
University Administration : President Hooker; Chancellor Hogan; Vice President Sessoms
In the absence of Chair Bok, President Hooker convened the first meeting of the Lowell Study
Group and asked Vice President Sessoms to review the scope and structure of the Study of the
UMASS Lowell Campus . Vice President Sessoms provided background information for
establishing the study which is designed to support and strengthen the campus, citing the
declining enrollments and vacant dormitory rooms as particularly important financial factors.
He went on to say that Trustee Bok found the potential financial projects such as the Hockey
Arena/Student Center and other property acquisitions, would need more in-depth Trustee
review.
Vice President Sessoms then referred to the six areas of focus for the study: enrollment;
market-niche; synergy within the UMASS system and other academic institutions; collaboration
with industry; financial condition; and physical condition. Working groups have been
established to look at each of these areas, and, in some cases are lead by outside experts, members
of the President's Office and various members of the UMASS Amherst campus. Vice President
Sessoms described the groups, their goals and their membership, inviting Trustees to become
involved in any area of particular interest. He further described the need for these groups to
interact and will hold cross-group meetings during the month of July. Much of the substance of
those meetings will be presented to this Trustee Group, and they hope to be finished by the end
of the summer.
Discussion turned to the Timeline and the Structure of the study, with the concern being the
depth of information and analysis given the time-frame. Vice President Sessoms identified the
time-frames for some particular tasks which would not go beyond the summer, and the fact that
much of the work would be done by graduate students who are more readily available during the
summer. President Hooker reminded the group that the two purposes of the study are to satisfy
the fiduciary responsibility of the Board and to give the campus information as it plans for the
future, both short and long-term. The timetable reflects the immediate needs in these two
purposes. President Hooker then mentioned the two other institutions which are important to
consider when there are decisions made at UMASS Lowell, the City of Lowell and Middlesex
Community College. The discussion turned to the political relationship being built between the
University, the Lowell /Merrimack Valley delegation, the City, and the local media. The
Chancellor went on to say that the most steadily difficult issue in the region is the economy,
citing several statistics about loss of jobs and the cost of living.
Trustee Bok joined the meeting at 9:05 a.m.
President Hooker then asked Vice President Sessoms about the Estimated Expenses, noting
the importance of keeping the costs to a minimum. Vice President Sessoms indicated that they
estimate approximately $100,000-110,000 with a great amount of the expense going to graduate
student salaries. Trustee Bok further explained that a major part of the cost will be the study of
the physical condition and layout of the campus as well as examining new proposals which will
bring a much-needed and long-term improvement to the campus atmosphere.
President Hooker then asked Chancellor Hogan to update the gTOup on the proposed
Hockey Arena/Student Center . The Chancellor described the atmosphere in the city as being
strongly in support of having an arena but aware of the difficulty of the City's ability to support
the project given it's status in financial receivership. Representative Cox has been particularly
helpful in securing funds from the state for their 1 /3 of the project. This funding is contingent on
the availability of city funds. The Chancellor further said that by October, when the recruiting
season begins, the campus will need to proceed with the on-campus arena /student center with or
without the city depending on their ability. The campus is currently planning for the potential
need to bring the issue to the Trustees in the fall.
Chancellor Hogan then outlined for the Trustees some of the issues that surround the dorm
vacancies, including the demographic make-up of the student body which has seen a major
increase in the number of commuter students, and described the financial aid strategy to
encourage students to live in the dorms. The Chancellor also described the increased efforts on
behalf of the admissions office in the face of declining enrollments, including total quality
management initiatives. The tuition and fee increases over the past five years greatly affected the
market niche of the campus, given the competition with Middlesex Community College and the
University of New Hampshire. In addition, in the face of declining enrollments, the campus has
seen the declining admissions standards and has also seen the increased number of students who
spend two years at MCC and then come to UMASS Lowell. Discussion continued regarding the
competition and future relationships with community colleges for all of the campuses.
The discussion then turned to the importance of the relationship between business and the
University, particularly the High Tech Council and the Lowell campus. The change in the
industry does have an impact on the curriculum, but the culture of the university is not friendly
to the ease with which industry can make change. The structural change impacts all of the
campuses in management and engineering reflecting business' needs. The discussion returned to
the issue of enrollments, admissions rates, quality and costs. President Hooker reminded the
group that the demographic changes will mean a major increase (30%) in the number of 18 year-
olds in the Commonwealth by the year 2010 which will improve the applications and admissions
rates.
Chair Taylor reminded the group of the importance of the reallocation project that should be
complemented by rebuilding quality programs which suffered under budget cuts. President
Hooker further noted that the quality issue is central to the question of reallocation across the
system. Productivity was also cited as a critical part of building the future of the University.
Vice President Sessoms then noted that the enrollment management and market niche of the
Lowell Study will be most useful to the entire system since the issues are current to each campus.
Also, there is currently underway a process for sharing faculty from the Engineering Department
in Lowell with the Boston campus, given that there is a need- Fundraising is also part of the
Lowell Study in addition to the major fundraising plans for the University system.
-2-
^ The meeting was adjourned at 10:00 a.m.
Elizabeth H. Tu thill
Assistant Vice President, Board Relations
i
J
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;
UNIVERSITY OF MASSACHUSETTS
AMHERST 'BOSTON • DARTMOUTH • LOWELL • WORCESTER
MINUTES OF THE SPECIAL MEETING OF THE
COMMITTEE ON ADMINISTRATION AND FINANCE AND
MEDICAL CENTER TASK FORCE
Tuesday, June 7 1994; 8:00 a.m.
Board Room
18 Tremont Street
Boston, Massachusetts
Committee/Task Force and Committee Staff : Trustees Haynes and Karam; Ms. Tuthill, Assistant Vice
President for Board Relations
Committee/Task Force Members Absent: Trustees Bogan, Dickson, Foley, Flores, O'Leary, Reed and
Siegmann, Spence
University Administration : President Hooker; Vice Presidents Lenhardt and Sessoms; General Counsel
Kirby; Chancellor Lazare; Deputy Chancellor Stanton
Guests : Mr. McClelland, Hospital Management Board; Dr. Frieswick and Mr. Hollings, University
Hospital
In the absence of Trustee Haynes who was chairing the meeting in the absence of Trustee Spence,
President Hooker called the meeting to order at 8:10 a.m. President Hooker identified three specific areas
of concern for Trustees for which reason this meeting was called: unanswered and additional questions
regarding the Hospital's current cash position; the Hospital's cost-cutting strategy; the approval of the
Hospital and Group Practice Budgets for FY95.
Mr. Hollings from the Hospital then distributed quarterly financial statements and presented further
information regarding admissions numbers (accounting for 75-80% of the income), observation beds, total
revenue, the average daily census, the issue of surplus and the cash position.
Chair Haynes joined the meeting at 8:20 a.m. Mr. Hollings continued his presentation and projected
that the Hospital should finish the year somewhere in the area of $1 million surplus. The largest costs
were for observation beds and fringe benefits. The cash position is also affected by the delay in the
University's capital program.
Mr. McClelland from the Hospital Management Board then addressed the question of the urgency of
action with regard to the Hospital's financing this spring. Mr. McClelland reiterated the extreme revenue
losses resulting from the observation beds, new payer classifications, the decline in admissions,
particularly surgeries which created a situation where the hospital was faced with an extreme reduction
in margin for both February and March. Since that time, they have formulated a cost reduction plan, and
are working on a revised budget.
The next item to be discussed was the issue of new programs. The total budget for new programs is a
net $5 million, most of which is already in current programs. They are looking carefully at the success of
young programs as those monies are used as an investment pot for new programs. The plan is to
continue to identify where to reduce costs while preserving the educational research core.
Chair Haynes then requested that the Task Force look at the Cost Reduction Strategy. Dr. Frieswick
reported that the Hospital had collected data for bench-marking based on national comparisons
(including Boston teaching hospitals) with academic hospitals and she reported on the various areas that
are undergoing changes and consolidations.
After further discussion, it was then decided that the revised Hospital budget would come back to the
Board for approval when it is fully prepared, in August or October. These budgets should be complete
with Executive Summaries that concisely present the issues of concern as discussed.
The meeting adjourned at 10:00 a.m.
Elizabeth H. Tuthill
Assistant Vice President, Board Relations
■2-
UNIVERSITY OF MASSACHUSETTS
AMHERST -BOSTON • DARTMOUTH • LOWELL • WORCESTER
MINUTES OF THE MEETING OF THE
MEDICAL CENTER TASK FORCE
Monday, June 13, 1994; 8:00 ajn.
18 Tremont Street - Suite 800
Knapp Room
Boston, Massachusetts
Task Force and Staff : Chair Karam; Trustees Lewenberg and Taylor; Assistant Vice President
Tuthill
Task Force Members Absent : Trustees Dickson and Foley
University Administration : President Hooker; Chancellor Lazare; Vice Presidents Kirby and
Lenhardt; Deputy Chancellor Stanton
Hospital Management Board : Mr. McClelland (Chair, HMB Finance Committee)
Chair Karam began the meeting at 8:05 a.m., stating that the purpose of the meeting was to
prepare for future meetings with potential partners. Chair Karam specifically requested that this
meeting cover cost issues and attendance at future meetings.
There was discussion regarding the amount of information on the UMASS budget and
austerity program necessary to bring in a potential partner. This discussion included the various
factors important to a future partnership including: educational mission, leadership (including
governance), and cost.
The question of whether the University Hospital should remain an independent hospital
versus partnering, particularly in light of the A.P.M. report, was then discussed. It was decided
that the University's position should be that partnerships to form an integrated network is of
priority, but the strength of the University as an independent should be factored into
negotiations. The expertise of UMMC's current consultants should be assessed in regard to
Hospital negotiations.
Discussion then turned to a major issue from the University's perspective: the importance of
a continued focus on the teaching mission for the UMASS Hospital. This brought the issue of
leadership and governance back, and it was reiterated that this is a very important factor in any
negotiations. Mr. McClelland outlined other areas of concern for the hospital in any future plan.
Finally, it was agreed that the University will explore the Medical Center's future on a "dual
track", i.e. as part of a partnership integrated network or as an independent hospital. President
Hooker stated that his office will follow through on these tracks and keep Trustees informed.
The meeting was adjourned at 9:25 a.m.
SUsUu-Ui
Elizabeth H. Tuthill
Assistant Vice President, Board Relations
>
UNIVERSITY OF MASSACHUSETTS
AMHERST 'BOSTON • DARTMOUTH • LOWELL • WORCESTER
MINUTES OF THE MEETING OF THE
NOMINATING COMMITTEE
Wednesday, September 14, 1994; 3:00 p.m.
Knapp Room
18 Tremont Street
Boston, Massachusetts
Committee and Committee Staff : Chair Haynes; Trustee DiCara; Mr. Boyd, Vice President and Board
Secretary; Ms. Farrell, Asst. VP for Board Relations
Committee Members Absent : Trustees Finnerty and Reed
Trustee Haynes convened the meeting at 3:15 p.m. He reported that in all of his conversations with
his colleagues on the Board, he was pleased to hear that members are committed to playing whatever role
necessary for the success of the Board and the University.
Trustee Haynes said further that the singular recommendation that the 1994 Nominating Committee
would make to the full Board would be for the Board to establish a two or three year cycle for committee
chairs. Given the number of changes made in 1993, the Committee does not recommend making any
changes this year. Trustee Haynes said that the challenge to the 1995 Nominating Committee will be to
set the ground work for bringing in new chairs next year and that the Chairman may wish to appoint the
1996 Nominating Committee this fall.
The Committee noted that the Chairman has the Board's full support and, further, that the cycle
imposed on the committee chairs should not apply to the Board Chairman.
It was moved, seconded and
VOTED: To recommend that the Board confirm and approve the Officers and Committee Chairs of
the Board set forth in Doc. T94-100, all to serve until the next annual meeting of the Board.
The meeting adjourned at 3:45 p.m.
Elizabeth Tu thill Farrell
Assistant Vice President for Board
Relations
>
*.'<' "**£'■
,
UNIVERSITY OF MASSACHUSETTS
AMHERST 'BOSTON • DARTMOUTH • LOWELL • WORCESTER
MINUTES OF THE MEETING OF THE
INVESTMENT SUBCOMMITTEE
Wednesday, September 21, 1994; 8:00 a.m.
18 Tremont Street - Suite 800
Knapp Room
Boston, Massachusetts
Committee and Committee Staff : Chair Haynes; Assistant Vice President Farrell
Committee Members Absent: Trustees Karam, Oakes, Poduska
University Administration : Vice President Lenhardt; General Counsel Kirby; Mr. Marquis,
Associate Treasurer; Vice Chancellor Goodwin; Dean Hayden
Chair Haynes convened the meeting at 8:05 a.m. and introduced the first action item,
Treasurer's Investment Report . Vice President Lenhardt referred to the Executive Summary and
noted that, in particular both the yield and the earnings have decreased since FY93. He further
pointed out that the report contains some comparison with other benchmarks, and that the
University is doing very well. Trustee Haynes noted that the work and the report was very well
done, and asked about the outlook, which Mr. Lenhardt and Mr. Marquis noted is good. Further
discussion regarding particular aspects of the report and the University's investment strategy was
held, including bonds portfolio, the equity strategy, and investments in CD's and Treasury Bills.
It was then moved, seconded and
VOTED: To recommend that the Committee on Administration and Finance accept the
FY1994 Treasurer's Investment Report as contained in Doc. T94-091.
The next item on the agenda was the discussion of the Operating Cash Portfolio and
Endowment Performance as of June 30, 1994 . Portfolio performance was discussed under the
previous item. Mr. Lenhardt did bring to the Committee's attention the UMASS Foundation's
performance highlights. The Treasurer's Office is working with the Foundation on an advisory
basis, and determining an appropriate strategy given recent market changes. Following
discussion on investing in derivatives, Trustee Haynes requested that Mr. Marquis make a
presentation on staying away from exotic investments and determine whether there is a need to
make a formal recommendation to the Board for the investment policy. Currently the University
has stayed away from derivatives.
After further discussion regarding the UMASS Foundation, Trustee Haynes requested that
the President investigate the status of subsidiary foundations and other similar groups which
hold endowed funds and advise this Committee and the Board of Trustees of future plans.
The next item on the agenda was the Amendments to the Cash Management Policy . Vice
President Lenhardt indicated that the changes were mainly technical items and that the major
changes include removing the South African investment restriction and to confirm the quasi-
endowment policy in the investment strategy.
It was moved, seconded and
VOTED : To recommend that the Committee on Administration and Finance amend the
Cash Management Policy by striking the following:
IV. Investment Banks:
6. The institution must adhere to the University's policy on Investment
which states 'The University will not invest in any company or lending
institution which, either directly or through its subsidiaries or affiliates,
does business in or with the Republic of South Africa or in countries with
similar apartheid racial policies."
And further,
To add the following language:
III. Investment Policies and Restrictions:
k. Equities - Equity securities may be purchased such that this
segment of the portfolio does not exceed 25% of the total portfolio value.
External portfolio managers will manage this segment of the portfolio.
Portfolio weighted average quality will be maintained at no less than A.
And,
To approve the amendments clarifying existing activity or grammar listed in Doc. T92-
031, Appendix F, as amended.
The next item on the agenda was the Medical Malpractice Trust Investment Policy . Vice
President Lenhardt explained that the Investment Subcommittee has requested that a percentage
of the portfolio be invested in equities. Trustee Haynes noted that these investments not exceed
25% of the portfolio.
It was moved, seconded and
VOTED : To recommend that the Committee on Administration and Finance To approve
the amendments to the Medical Malpractice Trust Investment Policy listed in
Doc. T90-056A, as amended.
There being no further business to come before the Committee, the meeting was adjourned at
8:35 a.m.
Elizabeth Tu thill Farrell
Assistant Vice President, Board Relations
-2-
UNIVERSITY OF MASSACHUSETTS
AMHERST 'BOSTON • DARTMOUTH • LOWELL • WORCESTER
MINUTES OF THE MEETING OF THE
MEDICAL CENTER TASK FORCE
Friday, September 23, 1994; 1:45 |H$S$^^
Rare Books Room, UMMC '»
Worcester, Massachusetts
Committee and Committee Staff : Chair Karam, Trustees Foley, Haynes, Lewenberg and Taylor;
Assistant Vice President Farrell
University Administration : Chancellor Lazare; General Counsel Kirby; Vice President Lenhardt
Chair Taylor convened the meeting at 2:10 p.m., in the absence of Trustee Karam, and turned
to Chancellor Lazare to introduce the discussion item, University Affiliations with Clinton and
Marlborough Hospitals . Chancellor Lazare reminded the task force that his administration has
in furtherance of its strategic planning, has been attempting to work out relationships with these
two hospitals. He then asked Dr. Arthur Russo to present the full scope of these matters.
Dr. Russo reviewed with the Task Force the strategic plan of the Medical Center which has
been undertaken, and a great part of which is affiliating with primary care networks and
extending market relationships. Dr. Russo further described the integrated network
development through clinical association that the Medical Center has begun to build.
Marlborough Hospital fills in a gap in the current regional affiliations, and Dr. Russo reviewed
the factors that make a relationship with Marlborough Hospital (MH) a positive strategic
outcome.
Dr. Russo went on to present a review of the clinical relationship that currently exists
between UMMC and MH; a review of the gross revenue generated at UMMC through current
associations with MH and other key descriptors of MH. Discussion was held regarding the
governance and financial structure of the proposed transaction. The Task Force noted the
importance of finding the legal and governance structure that will make this relationship and
others effective and efficient. Further, the Trustees insisted on unified cost accounting for clinical
operations, and that the subsidiary structure must not obfuscate Trustee understanding of the
financial issues at the Medical School and the Hospital.
Also of concern was the due diligence process, which has not yet been entered into, and the
budgeted costs for the process. General Counsel Kirby reported that the due diligence process is
budgeted through an outside firm and will be charged back to the hospital. The Trustees would
like to see the financial reports of the Marlborough Hospital in a similar reporting basis as the
University currently uses.
Trustee Karam then presented the vote. It was moved, seconded and
VOTED : To recommend that the Board authorize and approve negotiations regarding the
collaborative proposal described in the letter of intent dated May 31, 1994
between the University of Massachusetts Teaching Hospital and Marlborough
Metrowest Health Systems, Inc.
The meeting was adjourned at 3:00 p.m.
Elizabeth Tuthill Farrell
Assistant Vice President, Board Relations
•
UNIVERSITY OF MASSACHUSETTS
AMHERST -BOSTON • DARTMOUTH • LOWELL • WORCESTER
MINUTES OF THE MEETING OF THE
INVESTMENT COMMITTEE
Tuesday, February 1, 1994
Quinn Administration Building, Room 311
University of Massachusetts
Boston, Massachusetts
Trustee and Trustee Staff: Chair Haynes, Trustees Karam, Poduska and Oakes; Mrs. Fontaine, Secretary
to the Board
Other Trustees: Trustees Lizana and Lewenberg
University Administration : President Hooker, Vice President Lenhardt, Vice Chancellors Dars, Goodwin
and Page; Deputy Chancellor Stanton
Trustee Haynes convened the meeting at 2:50 p.m. The first item on the agenda was the Quasi
Endowment Fund Policy. Vice President Lenhardt presented the draft policy in response to the interest
expressed at the last meeting to develop a long term investment and development strategy. The draft
policy would allocate funds to the quasi-endowment accounts from each of the campus units of the
system and would be held by the University of Massachusetts Foundation. The funds would be invested
under the same guidelines as the endowment funds.
Another alternative suggested was similar to the mission enhancement fund approach the University
undertook this year. There was a less than optimistic view of this approach given the current budget
situation.
Vice Chancellors Page and Goodwin then spoke about potential concerns from the campus
perspective.
The Committee suggested that Vice President Lenhardt have prepared for the next meeting, data
relating to last year's balance sheet and what the impact would be if the University moved ahead with
this concept.
The meeting adjourned at 3:30 p.m.
Cynthia A. Fontaine 2-
Secretary to the Board of Trustees
•
•
•
UNIVERSITY OF MASSACHUSETTS
AMHERST -BOSTON • DARTMOUTH • LOWELL • WORCESTER
MINUTES OF THE MEETING OF THE
INVESTMENT SUBCOMMITTEE
Wednesday, May 4, 1994; 10:00 aaiu
18 Tremont Street - Suite 800
Board Room
Boston, Massachusetts
Committee and Committee Staff: Chair Haynes, Trustee Oakes (via telephone), Vice President
and Secretary of the Board Boyd and Assistant Vice President Tuthill
Committee Members Absent : Trustees Karam and Poduska
University Administration: Vice President Lenhardt; General Counsel Kirby; Vice Chancellor
Goodwin; Associate Chancellor Leheny; Associate Treasurer Marquis; University Comptroller
Wanczyk
Chair Haynes convened the meeting at 10:00 a.m. and asked Vice President Lenhardt to
introduce the first item, the Ouasi-Endowment Policy. Mr. Lenhardt reminded members that
this policy had previously come before the Committee and that it is an amendment to the current
Cash Management Policy of the University. The Comptroller, Ms. Wanczyk, then distributed
information regarding Balance Sheet and accounting implications that this policy would have.
Also available as a separate item was a portrayal of the Foundation's investment strategy,
including the asset mix.
Vice President Lenhardt then described the proposed policy and identified the basic policy
question as the Trustees' authorization of the quasi-endowment. The ensuing discussion focused
on creating a quasi-endowment from operations up to an amount equal to 25% of the book value
of the University's operating cash portfolio as of June 30. In discussion it was made clear that a
campus must have a positive current fund unrestricted fund balance in order to be considered
under the policy. It was agreed to recommend a quasi-endowment strategy as a positive effort to
improve the University's Balance Sheet.
Discussion then turned to the issue of amending the Cash Management Policy to allow equity
participation of up to 25% of the total cash balance of the University. Many issues were discussed
such as the volatility of the equity market, enhanced return, and so on. The risk being taken is
that in three of four years, the quasi-endowment return will exceed the fixed income return, but
in those years as well, negative returns are also possible. The Treasurer's Office will be
responsible for the program, as well as the hiring of external mangers to invest the equity
component.
Lengthy discussion regarding the investment return led to putting forth a few options for
capping that return, so as to keep from allocating earnings to any excessive levels. It was
determined that capping the return would safeguard the assets against down years and also keep
any campus from excessive dependence on the return. The cap could be established annually
based on expectations or on an average over the last five years. It was understood that the
Treasurer's Office would propose language in the vote to accomplish this objective.
Concerns regarding the one percent distribution to the President for development purposes
were then discussed. President Hooker assured the Committee that the Chancellors had all
discussed this policy and agreed on the need to devote money to development. The Committee
reiterated their support for the need to establish funds for use in development and see the quasi-
endowment as a good starting point for bolstering the total endowment.
The Committee then discussed information in the materials that identify the impact of
establishing a quasi-endowment fund. Ms. Wanczyk reported that comparative indices from
Standard & Poors show that our peer public institutions do have endowments of approximately
$68 million in total, of which 74% is quasi-endowment, and that if we utilized the 25% allocation
for FY94, the University would be at $64 million in total endowment with 77% of that being
quasi-endowment. The level of 25% allocation was then discussed and Committee members
were reminded that the policy allows for up to 25% and is limited by the individual campus's
balance sheets which is a second safeguard; this is a conservative allocation measure.
The major risk in establishing this policy hinges on whether or not the University proceeds
with the bond program and, if there is no bond program authorized, the money in the quasi-
endowment fund might need to be used for capital repairs and maintenance. Another external
risk would be any changes in the State's accounting requirements that threaten the University's
fiscal autonomy and forces the University to account for its funds in a different manner.
The Committee asserted that they support the policy and will bring it to the Committee on
Administration and Finance for action.
There being no further business to come before the Committee, the meeting was adjourned at
1055 am.
Elizabeth H. Tuthill
Assistant Vice President, Board Relations
-2-
•\t -"*■•'
UNIVERSITY OF MASSACHUSETTS
AMHERST -BOSTON • DARTMOUTH • LOWELL • WORCESTER
MINUTES OF THE MEETING OF THE
INVESTMENT SUBCOMMITTEE
Wednesday, September 21, 1994; 8:00 a.m.
18 Tremont Street - Suite 800
Knapp Room
Boston, Massachusetts
Committee and Committee Staff : Chair Haynes; Assistant Vice President Farrell
Committee Members Absent : Trustees Karam, Oakes, Poduska
University Administration : Vice President Lenhardt; General Counsel Kirby; Mr. Marquis,
Associate Treasurer; Vice Chancellor Goodwin; Dean Hayden
Chair Haynes convened the meeting at 8:05 a.m. and introduced the first action item,
Treasurer's Investment Report . Vice President Lenhardt referred to the Executive Summary and
noted that, in particular both the yield and the earnings have decreased since FY93. He further
pointed out that the report contains some comparison with other benchmarks, and that the
University is doing very well. Trustee Haynes noted that the work and the report was very well
done, and asked about the outlook, which Mr. Lenhardt and Mr. Marquis noted is good. Further
discussion regarding particular aspects of the report and the University's investment strategy was
held, including bonds portfolio, the equity strategy, and investments in CD's and Treasury Bills.
It was then moved, seconded and
VOTED: To recommend that the Committee on Administration and Finance accept the
FY1994 Treasurer's Investment Report as contained in Doc. T94-091.
The next item on the agenda was the discussion of the Operating Cash Portfolio and
Endowment Performance as of June 30 f 1994 . Portfolio performance was discussed under the
previous item. Mr. Lenhardt did bring to the Committee's attention the UMASS Foundation's
performance highlights. The Treasurer's Office is working with the Foundation on an advisory
basis, and determining an appropriate strategy given recent market changes. Following
discussion on investing in derivatives, Trustee Haynes requested that Mr. Marquis make a
presentation on staying away from exotic investments and determine whether there is a need to
make a formal recommendation to the Board for the investment policy. Currently the University
has stayed away from derivatives.
After further discussion regarding the UMASS Foundation, Trustee Haynes requested that
the President investigate the status of subsidiary foundations and other similar groups which
hold endowed funds and advise this Committee and the Board of Trustees of future plans.
The next item on the agenda was the Amendments to the Cash Management Policy . Vice
President Lenhardt indicated that the changes were mainly technical items and that the major
changes include removing the South African investment restriction and to confirm the quasi-
endowment policy in the investment strategy.
It was moved, seconded and
VOTED : To recommend that the Committee on Administration and Finance amend the
Cash Management Policy by striking the following:
IV. Investment Banks:
6. The institution must adhere to the University's policy on Investment
which states "The University will not invest in any company or lending
institution which, either directly or through its subsidiaries or affiliates,
does business in or with the Republic of South Africa or in countries with
similar apartheid racial policies."
And further,
To add the following language:
III. Investment Policies and Restrictions:
k. Equities - Equity securities may be purchased such that this
segment of the portfolio does not exceed 25% of the total portfolio value.
External portfolio managers will manage this segment of the portfolio.
Portfolio weighted average quality will be maintained at no less than A.
And,
To approve the amendments clarifying existing activity or grammar listed in Doc. T92-
031, Appendix F, as amended.
The next item on the agenda was the Medical Malpractice Trust In vestment Policy . Vice
President Lenhardt explained that the Investment Subcommittee has requested that a percentage
of the portfolio be invested in equities. Trustee Haynes noted that these investments not exceed
25% of the portfolio.
It was moved, seconded and
VOTED : To recommend that the Committee on Administration and Finance To approve
the amendments to the Medical Malpractice Trust Investment Policy listed in
Doc. T90-056A, as amended.
There being no further business to come before the Committee, the meeting was adjourned at
8:35 a.m.
Elizabeth Tuthill Farrell
Assistant Vice President, Board Relations
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